Trading Operations Specialist

About Wealth Enhancement Group

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 61,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

Our Walnut Creek, CA office has an exciting opportunity for a Trading Operations Specialist. The ideal candidate is smart and experienced in our industry. He or she loves being part of a great team and thinking about the firm’s “big picture”. This individual must be driven to take initiative to complete tasks fully and beyond just what is asked for. This role is on-site.

The target salary range for this role is $65,000 - $85,000 depending on experience. This role is eligible for quarterly bonuses.

We select our initial compensation target using national compensation survey data. When we make an offer, we then factor in things like tenure, performance, and geographic location to come up with the most accurate numbers. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

• Trade order creation and execution in client accounts for ad hoc cash distributions and during periodic rebalance of all client accounts

• Rebalance and trade accounts tax-efficiently

• Post-trade processing and resolving trade settlement issues in a timely manner

• Research and process corporate actions (i.e. tender offers)

• Support Investment research & reporting

• Maintaining investment models and various research materials

• Compiling documentation to prepare for quarterly Investment Committee Meetings

• Support investment and business operational duties as needed

Education/Qualifications: 

• 3+ years of experience in the financial services industry

• SIE Exam, Series 7, & 66 licenses (or to be obtained within the first three 3 months of hire)

• Previous trading experience

• Know Morningstar Advisor Workstation and its reporting/research capabilities

• Experience with Orion trading platform (preferred)

• Strong proficiency with Microsoft Office suite, especially Excel

• Ability to manage time effectively, set priorities, and meet deadlines

• Excellent communication and organizational skills

• Ability to learn and adapt to change

• Strong analytical and detail-oriented aptitude; a high degree of accuracy is required

• Are interested in a long term position

IND123

#LI - MR1

#LI - ONSITE

Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage

• 401k – with match and profit sharing

• Health care spending and savings accounts

• Dependent care and transit spending accounts

• Wellness programs and resources

• Life and AD&D insurance – employer paid and voluntary options

• Short-term and long-term disability – employer paid

• Employee assistance plan

• Accident and critical illness

• Pet insurance

• Identity theft

• Paid Time Off

• 12 paid holidays each year

• Paid parental leave and paid caregiver leave

• Tuition reimbursement

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.