Trading Operations Associate

We are seeking a highly organized, operations-driven Trading Operations Associate to join our investment operations team. This role is critical to ensuring accurate trade processing, seamless custodial workflows, clean data, advisor support, and operational consistency across our multi-custodian platform.

This is an operations-first position focused on the integrity, accuracy, and efficiency of everything that happens after an order is placed. The associate will own reconciliation, exception resolution, custodian communication, advisor interaction, platform support, reporting, and cross-department coordination.

The ideal candidate has strong attention to detail, thrives in complex operational environments, and proactively improves workflows, reduces risk, and enhances the advisor and client experience.

Work Location: This position is in person, available to hire at the following office locations:
Scottsdale, AZ;
New York, NY; or Sarasota, FL.

Ashton Thomas Private Wealth and Ashton Thomas Securities represent a modern, unified wealth management enterprise—combining a leading SEC‑registered RIA and a fully licensed Broker‑Dealer under one platform. Together, we deliver institutional‑grade investment management, execution, and advisor support through a connected, data‑driven architecture that spans all major custodians and asset classes.

At Ashton Thomas, trading is not simply a back‑office function, it is a strategic pillar of our investment philosophy. The Senior Trader plays a pivotal role in ensuring every trade, rebalance, and model implementation reflects the same precision, integrity, and discipline that define our firm.

• Validate and reconcile all daily trades across custodians (Schwab, Pershing, Goldman Sachs, Fidelity).
• Monitor corporate actions including dividends, mergers, calls, conversions, and stock split ensuring custodial processing is accurate.
• Work with custodians to resolve data mismatches or processing delays.
• Maintain trade blotters, exception logs, and operational audit trails.
• Ensure positions, cash balances, and trade reflects are accurate across reporting and OMS platforms.

• Act as an operations liaison for advisors needing help with trade status, positions, cash, corporate actions, or custodial processes.
• Support advisor onboarding and training on trading workflows, UMA/SMA setup, and operational best practices.
• Assist with coordinating meetings, webinars, and communication for the CIO/Deputy CIO monthly calls.
• Prepare materials, summaries, and documentation for internal operations and investment meetings.
• Deliver timely updates to advisors and teams when operational issues or custodial disruptions occur.
• Liaise daily with custodians regarding file feeds, account updates, and operational discrepancies.
• Coordinate with SMA managers, alternatives partners, and third‑party platforms for operational workflows.
• Troubleshoot issues within trading and operations systems (NetX
  360, Bond Beacon, Bond Nav, OMS platforms).
• Assist with new platform rollouts, integrations, testing, and enhancement validation.
• Maintain operational documentation for systems, workflows, and procedures.

• Identify opportunities to streamline operational workflows and reduce manual processes.
• Recommend automation or workflow enhancements that improve accuracy and reduce operational risk.
• Assist in updating operations procedures, trading policies, and compliance documentation.
• Support regulatory and audit preparation by maintaining organized operational records.

• Provide backup support for the Senior Trader when needed.
• Execute trades under supervision following established processes and rules‑based workflows.
• Assist with rebalancing files, model updates, sleeve assignments, and directed trades.
• Monitor cash and assist in ensuring accounts remain within proper trading and allocation guidelines.

• Bachelor’s degree in Finance, Accounting, Business, Operations, or related field.
• 2–5 years of experience in operations,…