Kestra Financial · 2 months ago
Trading Manager
Tempe, AZ
Full-time
Onsite
Mid, Senior Level
3+ years expKestra Financial is a company offering industry-leading wealth management platforms for independent wealth management professionals nationwide. They are seeking a Trading Manager to lead the Trading Operations team, ensuring accurate processing of trading activities and regulatory compliance while educating financial professionals on trading processes.
BankingConsultingFinanceFinancial Services
Responsibilities
Direct responsibility for our Trading Operations Team and ensuring the team focuses on service, accuracy and regulatory compliance
Managing the operational efficiency of the various processes completed within Trading including, trade processing assistance (for asset classes available), trade corrections, non-purpose loan collateral reviews, various trade tool knowledge and training, alternative investment processing, restricted stock processing, and other items as they arise
Meet regularly with the Sr. Operations Principal and Compliance to stay attuned to the regulatory landscape and any needed changes to meet new regulatory requirements
Lead by example and through consistent coaching to ensure Trading associates understand their contribution to the organization, their role in providing a high-quality experience to our financial professionals as well as recognize their individual growth opportunities
Consistently look for ways to streamline and simplify processes and procedures
Consult with our financial professionals, and internal teams, when working through alternatives for problem resolution, as well as how to best leverage various platform options to satisfy their end client needs
Work closely with Wealth Management to hold external service partners accountable to maintaining the same high level of service Kestra would provide, including Fixed Income, Banking and Lending, Alternative Investment relationships and platforms
Identify needed field training and work with internal partners on building and delivering a best-in-class training and development program
Represent Trading Operations in onboarding and prospective financial professional meetings and trainings
Ask 'why' and work quickly to uncover root causes and assess needed changes
Work in partnership with fellow management team to champion strategic decisions and hold Trading team and fellow stakeholders accountable
Represent the organization in firm-sponsored, industry-sponsored, and partner-sponsored meetings (some travel may be required)
Other responsibilities as assigned
Qualification
Required
High School or Equivalent. Bachelor's degree beneficial
3+ years of relevant industry-related experience
An understanding of the regulatory requirements, within the areas of responsibility, of an independent broker dealer
Working knowledge of National Financial Services (NFS)
Thorough knowledge of Alternative Investments and securities backed lending
Public Speaking
Problem Solving and Prioritization
Proficiency with Microsoft Office products including Word, Excel, Outlook, and PowerPoint
Coaching and Employee Motivation
Series 7, 63 (or 66) and 24 licenses required
Preferred
Management/supervisory and performance management experience beneficial
Series 4 and Series 53 licenses within 1 year of hire
Other licenses may be required as the industry evolves
Benefits
401(k)
Health insurance
Competitive benefits package
Opportunities for training, development, and long-term growth within the firm
Tuition reimbursement for qualified expenses
Company
Kestra Financial
Kestra Financial provides a leading independent advisor platform.
201-500 employees
H1B Sponsorship
Kestra Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (5)
2024 (14)
2023 (4)
2022 (3)
2021 (1)
2020 (6)
Funding
Current Stage
Growth StageTotal Funding
unknown2019-02-25Acquired
Leadership Team
Christine Brown
Head of Advanced Planning
Recent News
2025-11-20
Company data provided by crunchbase