Trading Operations Associate - West Coast

Your Role:

As an Trading Operations Associate, you will provide high-quality support to enterprise-level clients, addressing issues related to order entry, execution, best ex, trade surveillance and high-touch order handling. You will build and maintain strong relationships, proactively monitoring client trading activity to ensure smooth operations. Collaborating with trading operations desks, IT, and compliance teams, you’ll resolve issues and offer relevant market insights. Additionally, you will ensure all trading activities comply with regulatory requirements while identifying and addressing potential risks. Your role will also involve gathering client feedback to enhance services and tools. The expected coverage hours for this role are 11:00 AM–8:00 PM ET.

Key Responsibilities:

Customer Support:

• Deliver high-quality support to enterprise-level clients through various channels (phone, email, chat).
• Investigate and resolve issues related to account management, order entry, processing, execution, FIX sessions, and OMS functionality.
• Assist clients with troubleshooting and technical issues to ensure seamless operations.

Trading Services:

• Monitor client accounts and trading activity for anomalies, providing timely alerts and support as necessary.
• Stay informed on market developments and trading infrastructure to offer relevant guidance and insights to clients.
• Monitor corporate actions, including dividends, stock splits, mergers, and other events, ensuring accurate and timely communication and resolution.

Collaboration and Feedback:

• Work closely with trading desks, operation, IT, and compliance teams to address and resolve client issues efficiently.
• Collect client feedback and share insights with product development and management teams to refine services and tools.

Compliance and Risk Management:

• Ensure all client interactions and trading-related activities adhere to regulatory requirements and internal policies.
• Proactively identify and address potential risks associated with client operations and trading processes.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, Economics, or a related field.
• At least 2-3 years of experience in brokerage operations, trading, or a related field.
• Proven experience in customer support, relationship management, and trading services.
• Demonstrated experience with trading platforms and equities trading and familiarity with FIX protocol. Options experience is a plus.
• Must either possess FINRA series 7, 63 or local equivalent with a willingness to obtain in the first 6 months.
• Strong communication and interpersonal skills, with the ability to build and maintain client relationships.
• Excellent English written and verbal communication skills to interact with internal and external stakeholders.
• Proficient verbal communication skills in a language other than English. Japanese or Korean are a plus.
• Ability to work independently, manage priorities, and meet deadlines in a fast-paced environment.
• High ethical standards and a commitment to maintaining confidentiality.