About the Role:



The Associate Financial Advice Team (AFAT) Investment Trading Associate serves as the primary trading resource for AFAT clients and is responsible for reviewing and executing investment transactions submitted through Thomson One. This role ensures the accurate and timely execution of equity, ETF, mutual fund, fixed income, and advisory program transactions while maintaining adherence to firm policies, procedures, and regulatory requirements.



This role will develop a strong understanding of the firm's advisory programs and proactively identify opportunities where associates may benefit from advisory solutions, helping support the team's mission of improving associates' long-term financial outcomes. This role works closely with internal team members, Operations, Compliance, and trading desks to support investment implementation and deliver an exceptional associate experience.




The Impact You'll Make:

• Review trade requests for completeness, accuracy, and required documentation prior to execution


• Execute equity, ETF, mutual fund, fixed income, and advisory program transactions in client accounts


• Identify, investigate, and resolve trade-related exceptions and discrepancies


• Maintain a high level of accuracy while managing multiple trade requests


• Maintain a thorough understanding of the firm's advisory platforms, managed account programs, and investment solutions


• Identify opportunities where associates may benefit from advisory services or other investment solutions and communicate those opportunities


• May research available fixed income offerings and provide bond offer sheets, including U.S. Treasuries, corporate bonds, municipal bonds, agency securities, and certificates of deposit (CDs), to support associate investment decisions

• Maintain accurate records of trade instructions, execution activity, and supporting documentation


• Generate trading and workflow reports as needed


• Partner with Operations and Compliance to resolve trade issues and ensure adherence to regulatory requirements


• Maintain knowledge of investment products, market activity, and trading procedures


• Assist with testing, implementation, and enhancement of trading processes


• Stay informed on market developments, investment products, and industry trends

• Identify opportunities to improve trading workflows, operational efficiencies, and the overall associate experience


• Support team initiatives, special projects, and process improvement efforts


• Provide backup support for other team functions as needed


• Perform additional duties and responsibilities as assigned

• Securities Industry Essentials (SIE), Series 7, and Series 66 or 63 and 65 licenses required


• Two or more years of experience in securities trading, brokerage operations, investment implementation, wealth management, or advisory services


• Knowledge of equity, ETF, mutual fund, fixed income, and advisory investment products


• Understanding of brokerage and advisory account structures.


• Experience using Thomson One and other trading/order management systems


• Demonstrated ability to identify investment solutions that align with associate needs and objectives


• Understanding of securities trading, settlement, and brokerage operations


• Strong organizational, analytical, and problem-solving skills


• Excellent communication and interpersonal skills


• Ability to manage multiple priorities while maintaining accuracy and attention to detail