Trading Specialist II

Kestra • Austin, TX

8d

About The Position

Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients
Lead with Purpose. Partner with Impact.
Kestra Financial is seeking a dynamic and motivated Trading Specialist II to join our Trading Operations team. In this role, you will be responsible for assisting our Financial Professionals by helping them with any trade related, operational needs while mitigating firm and client risk. The ideal candidate is detail oriented, has a service mindset, and understands how the markets work. The ideal candidate is eager to contribute to our mission of Powering Financial Independence by having a serve, make it happen, and one team mentality.

Requirements

• High School Graduate required
• Must be able to perform duties accurately and timely
• Must demonstrate corporate mission statement and advisor first culture
• Must be proficient with Microsoft Outlook, Word, and Excel. Must have basic knowledge of Power Point
• Must be able to read, analyze and reconcile trading reports
• Must become proficient with the use of clearing firm, vendor(s) and internal programs and software within 30 days of hire including but not limited to Salesforce
• Must possess good analytical skills, problem solving skills and good communication skills, both verbal and written
• Must have good attention to detail
• May be required to work overtime, as necessary
• Must hold the Series 7, 63 (or 66) licenses
• Must obtain the Series 53, 4 and/or 24 licenses within 6 months of request from management
• Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
• Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

Nice To Haves

• College degree strongly preferred
• 2+ years equivalent industry related experience strongly preferred

Responsibilities

• Comply with all regulatory rules, written desktop procedures/standard operating procedures and company policies.
• Communicate effectively with the Kestra Financial Professionals and with internal staff.
• Assist external and internal partners with complex transactions, correcting trade breaks, trade corrections, and research/inquiries needed to service our Financial Professionals. Identify opportunities for improvement and work with management on implementing changes.
• Maintain accurate daily trade logs and blotters for timely supervisor review. Maintain daily, weekly and monthly stats as related to your daily functions and submit to the department director weekly and/or monthly. Review trade related reports and process/follow-up on items requiring attention.
• Monitor and/or process Financial Professional requests related to trades, corrections, Alternative Investments, and Securities backed lending in timely manner.
• Independently handle complex AI issues.
• Demonstrate thorough knowledge of our fixed income, securities backed lending, and other trade related revenue generating offerings and processes.
• Monitor and process Review and Release, Wealthscape Service Center, specialized and complex trades, and trade corrections.
• Assist with quarterly status meetings on trade reporting statistics including actions taken to remedy reporting issues.
• Assist other positions within the department.
• Other responsibilities as assigned.
• Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED