Ashton Thomas Private Wealth · 1 month ago
Trading Operations Associate
Scottsdale, AZ
Full-time
Onsite
Entry, Mid Level
2+ years expAshton Thomas Private Wealth is a modern wealth management enterprise combining an SEC-registered RIA and a fully licensed Broker-Dealer. The Trading Operations Associate will be responsible for ensuring accurate trade processing, custodial workflows, and operational consistency while supporting advisors and improving operational efficiency.
Financial Services
Responsibilities
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 (NetX360, Bond Beacon, BondNav, 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
Qualification
Required
Bachelor's degree in Finance, Accounting, Business, Operations, or related field
2–5 years of experience in operations, trade support, reconciliation, or custodian services within an RIA, broker-dealer, bank, or asset manager
Strong understanding of operational workflows — trade lifecycle, settlement, reconciliation, cash management, and corporate actions
Expertise in Excel and operational data handling (lookups, pivots, reconciliations)
Familiarity with OMS, UMA/SMA platforms, and trading systems
Excellent written/verbal communication skills, especially with advisors and custodians
Strong organizational skills; able to prioritize multiple deadlines and manage high-volume tasks
Detail-oriented with the ability to identify discrepancies and correct root-cause issues
Proactive and process-improvement mindset
Preferred
Experience with multi-custodian environments (Schwab, Pershing, Goldman Sachs, Fidelity)
Series 7/63/99
Benefits
Performance-based incentives
Comprehensive benefits package
Company
Ashton Thomas Private Wealth
Ashton Thomas Private Wealth is a diversified financial advisory firm committed to a culture of excellence, integrity, and respect in every aspect of its business.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Aaron Brodt CIMA®
Chief Executive Officer/Founder
David Hatfield
Chief Technology Officer
Recent News
Investment News
2025-05-28
Arax Investment Partners
2025-05-27
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