About the Company
We’re a structured notes wholesaling firm that partners with independent RIAs and the advisors who serve their clients. We work with multiple bank issuers to source, price and deliver structured notes for advisor portfolios. We’re a small, close-knit team that moves quickly and puts the client first.
About the Role
The Trading Operations candidate owns the full structured note trade lifecycle. That runs from pricing requests across multiple bank issuers through execution, settlement and confirmations. You’ll be the operational backbone for the external sales team. Because the team is small, you’ll be close to every trade instead of owning one slice of a large ops group.
Responsibilities
- Request and compare pricing from multiple bank issuers on structured note trades
- Coordinate trade execution and make sure orders are entered accurately and on time
- Manage settlement, confirmations and allocations from trade date through closing
- Reconcile trades and resolve breaks or discrepancies with issuers, custodians and advisors
- Support the external sales team with trade status, pricing updates and operational questions
- Keep trade records, reports and documentation organized and current
- Spot gaps in the process and help build better workflows as the firm grows
Qualifications
- Experience on a trading desk or in trade operations, trade support or middle office
- Experience with structured notes or structured products, or at a firm that trades them for advisors or clients
- Background at an RIA, wealth management firm, broker-dealer, asset manager, notes platform or bank
- Highly detail oriented and organized, with strong follow-through
- Proactive communicator who’s comfortable working directly with advisors and sales teams
- Thrives on a small, fast-moving team
- Series 7 and 63 are a plus but not required
