Trading & Operations Associate

Trading & Operations Associate | Charlotte, NC

Who is Independent Advisor Alliance?

Independent Advisor Alliance (IAA) is strategically focused on building a community of successful independent advisors serving the financial and retirement needs of individuals and businesses. We provide our affiliated advisors with customized support services designed to optimize efficiencies, reduce expenses, attract and retain clients, and boost revenue.

Position Description

Independent Advisor Alliance is seeking a Trading and Operations Associate. This is not a remote position. The Trading and Operations Associate will be required to perform tasks within our managed portfolio solutions and assist with billing. Experience using advisor platforms including Orion is not required, but strongly preferred. The Trading and Operations Associate will be responsible for placing trades, so the candidate must be licensed. This role will also be responsible for other operational tasks that arise within IAA.

Specific Areas of Responsibility Include, but are Not Limited To:

• Assist with the overall operations and service of IAA’s managed portfolio solutions
• Allocate accounts to models, assist with trading and rebalancing, and handle one-off requests from advisors
• Communicate portfolio information to advisors
• Support the Operations Manager with placing trades within Independent Advisor Alliance model portfolios
• Assist in all aspects of Orion software: onboarding new users, establishing data feeds with multiple custodians, maintaining data integrity, supporting billing functions, educating and training advisors on system functionality:
• Orion is a platform to help advisors efficiently manage accounts at multiple custodians in order to accomplish business objectives

(reporting, billing, model creation and management, trading client portal, data aggregation)

• Assist in transitions and repapering support for new advisors transitioning to IAA
• Engage with IAA advisors proactively and reactively, providing an excellent experience and a high level of service
• Gathering of data from multiple sources to ensure accuracy and compliance
• Assist other IAA departments as needed

Preferred Qualifications:

• Series 7, 63/65, or 66 licensed (required)
• At least 1+ year(s) experience with trading platforms (required)
• Bachelor’s Degree in Finance or related field and 3-5 years of industry experience
• Capacity and patience to handle multiple tasks at once while maintaining precision and optimism
• Self-motivated team player with a client services-oriented approach and high attention to detail
• Experience with advisor platforms (Orion preferred)
• Experience with TD Ameritrade, Fidelity, LPL, Charles Schwab platforms (preferred)
• Proficient in Microsoft Office (Teams, Word, Excel, Outlook) and other industry-related software

Job Type: Full-time

Pay: $55,000.00 – $62,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Vision insurance

Physical Setting:

• Office

Schedule:

• 8 hour shift

Supplemental Pay:

• Bonus pay

Application Question(s):

• Do you hold your Series 7, 63/65, or 66 licenses?

Experience:

• Trading: 1 year (Preferred)

Work Location: One location