Trading Manager

Rio 2100, 63 S Rockford Drive, Tempe, Arizona, United States of America

Austin, TX, USA

ABOUT US:

Kestra Holdings offers industry-leading wealth management platforms for independent wealth management professionals nationwide. With an innovative culture that celebrates independence, the company seeks to redefine the future of the advisory industry through superior service, cutting-edge technology, and preeminent resources that every financial professional needs to succeed in the market now and in the years to come.

Kestra Holdings companies collectively oversee $123 billion in assets under administration (AUA) and support more than 2,400+ independent financial professionals across the country in delivering comprehensive securities, trust, and investment advisory services to their clients. Located in the “Silicon Hills” of Austin, Texas, Kestra Holdings offers an experience as unique as the city in which it operates.

Kestra Financial is seeking a dynamic and motivated operations Manager to join our Trading Operations team. In this role, you will be responsible for educating our financial professionals and their staff on trading activities and ensuring timely and correct processing of requests occurs. The ideal candidate is detail oriented, has a service mindset, and is eager to contribute to our mission of Powering Financial Independence by having a serve, make it happen, and one team mentality.

RESPONSIBILITIES:

• Direct responsibility for our Trading Operations Team and ensuring the team focuses on service, accuracy and regulatory compliance.
• Managing the operational efficiency of the various processes completed within Trading including, trade processing assistance (for asset classes available), trade corrections, non-purpose loan collateral reviews, various trade tool knowledge and training, alternative investment processing, restricted stock processing, and other items as they arise.
• Meet regularly with the Sr. Operations Principal and Compliance to stay attuned to the regulatory landscape and any needed changes to meet new regulatory requirements.
• Lead by example and through consistent coaching to ensure Trading associates understand their contribution to the organization, their role in providing a high-quality experience to our financial professionals as well as recognize their individual growth opportunities.
• Consistently look for ways to streamline and simplify processes and procedures.
• Consult with our financial professionals, and internal teams, when working through alternatives for problem resolution, as well as how to best leverage various platform options to satisfy their end client needs.
• Work closely with Wealth Management to hold external service partners accountable to maintaining the same high level of service Kestra would provide, including Fixed Income, Banking and Lending, Alternative Investment relationships and platforms.
• Identify needed field training and work with internal partners on building and delivering a best-in-class training and development program.
• Represent Trading Operations in onboarding and prospective financial professional meetings and trainings.
• Ask “why” and work quickly to uncover root causes and assess needed changes.
• Work in partnership with fellow management team to champion strategic decisions and hold Trading team and fellow stakeholders accountable.
• Represent the organization in firm-sponsored, industry-sponsored, and partner-sponsored meetings (some travel may be required).
• Other responsibilities as assigned.

KNOWLEDGE AND

SKILLS:

• An understanding of the regulatory requirements, within the areas of responsibility, of an independent broker dealer.
• Working knowledge of National Financial Services (NFS)
• Thorough knowledge of Alternative Investments and securities backed lending
• Public Speaking
• Problem Solving and Prioritization
• Proficiency with Microsoft Office products including Word, Excel, Outlook, and PowerPoint.
• Coaching and Employee Motivation

SUPERVISORY RESPONSIBILITIES:

• Trading Specialist I and II

EDUCATION AND EXPERIENCE:

• High School or Equivalent. Bachelor's degree beneficial.
• 3+ years of relevant industry-related experience
• Management/supervisory and…