Senior Trading Specialist- Series

Vaco is partnering with a client in Tempe, AZ to hire a Senior Trading Specialist. In this role, you will handle incoming calls and online service tickets related to trades executed by financial advisors, ensuring all transactions are processed accurately and efficiently within the system.

The ideal candidate will hold an active Series 7 and Series 63 or 66 license and bring strong attention to detail and client service skills.

This is a direct-hire, hybrid opportunity offering up to $81,000 annually plus bonus. The client is hiring immediately!

• Monitor processes for quality and risk control and report any issues or suggested improvements to management.
• Maintain a solid understanding of the company’s trading operations and be able to explain processes to financial professionals.
• Support financial professionals by identifying their needs, clarifying questions, and offering helpful suggestions.
• Assist internal and external partners with trade transactions, corrections, research, and other related requests.
• Keep accurate and timely records, reports, and documentation.
• Help train new team members, support management with reviews, and handle basic issue escalations.
• Assist leadership with reports and meetings related to trade and regulatory updates.
• Perform other duties as assigned.

• Must understand the operational and regulatory aspects of trading various security types through a 3rd party custodian.
• Ability to interact well with internal and external customers.
• Must be able to perform duties accurately and timely.
• Must be recognized as a go-to person for questions and escalations.
• Must exemplify corporate mission statement and advisor first culture.
• Must be proficient with Microsoft Outlook, Word, and Excel. Must have basic knowledge of Power Point.

Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual’s skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting.

The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company’s 401(k) retirement plan.