Tavares | Winter Park | The Villages

Trading Operations Specialist

Critical features of this job are described under the headings below.  They may be subject to change at any time due to reasonable accommodation or other reasons. 


The Trading Operations Specialist will enhance the Trading experience by supporting Wealth Advisors and other internal stakeholders with trading, service, and operational duties.   This position is an integral part of the Wealth Advisor group as well as the Operations Team. They are responsible for ensuring all service and operational aspects of trading and accounts are properly maintained.  They will also ensure the effective operation of the trade desk.  This role will often be the primary contact for internal advisor inquiries, trading, and operations requests. They are organized, efficient, and detail-oriented in a fast-growing and fast-paced environment.


Specific duties include, but are not limited to:

  • Respond to inquiries by other staff members.

  • Service stakeholder needs and requirements as determined through electronic and in-person client interaction

  • Coordinate trading and operations activities to ensure seamless trade execution and operations processing.

  • Process trade orders based on advisor requests

  • Process block trade orders for bulk model or position changes

  • Process special trade instructions such as takeaways, 144, alternative investments, etc.

  • Create, File, scan, and organize documents including trade blotter, position, model and other trading and operational reports.

  • Handle data entry and maintenance of the portfolio accounting software and related CRM system

  • Ensure accuracy and timely processing of data within these systems

  • Track trade and operations activity looking for opportunity to enhance processes and controls

  • Assist in developing processes and procedures that enhance accuracy and streamlines processes.

  • Provide back-up and cross-training to the other Specialists

  • Proactively contact internal stakeholders to address issues and confirm completion of assigned tasks

  • Complete onboarding setup for trade process on each new client relationship

  • Provide back-up to front desk when needed

  • Greet Clients and make them feel comfortable when visiting the office

  • Assist operations in day-to-day functions.

  • Perform general clerical and operational duties as assigned

  • Complete special projects as assigned.


  • Bachelor’s degree required

  • Series 65 a plus

  • Minimum of two years of experience working in a professional office environment preferred.

  • Embody mission, values, and culture of the company

  • Excellent follow-through skills

  • Possess strong financial and analytic skills

  • Able to work independently and take initiative

  • Strong computer and technology skills and expertise in Microsoft Excel, Word, and PowerPoint. 

  • Familiarity with contact relationship management software, particularly salesforce, a plus.

  • Excellent interpersonal and telephone skills.

  • Excellent writing skills, organizational skills, and attention to detail.

  • Excellent attitude and an extraordinary client service orientation.

  • Ability to handle multiple tasks and operate on tight deadlines.

  • Be adaptable

  • Ability to thrive in a fast-paced environment

The employee is expected to adhere to all company policies and to act as a role model in the adherence to those policies. 


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