Trading and Operations Associate jobs in United States
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Independent Advisor Alliance · 20 hours ago

Trading and Operations Associate

positionCharlotte, NC
timeFull-time
remoteHybrid
seniorityEntry Level
date1+ years exp

Independent Advisor Alliance is looking for a proactive, detail-oriented Trading and Operations Associate to join our team. This role is essential to ensuring seamless portfolio management and operational support for our advisors.

AdviceComplianceConsultingHuman ResourcesTraining

Responsibilities

Manage day-to-day trading tasks and rebalancing within our managed portfolio services, ensuring efficient and accurate trade execution
Allocate accounts to models, handle advisor requests, and communicate key portfolio information
Assist in all aspects of Black Diamond: establish data feeds with multiple custodians to accomplish business objectives (reporting, billing, model creation and management, trading, and data integration)
Assist the compensation team with data gathering, fee calculations, and related support functions
Identify and implement process improvements to increase efficiency within the trading team
Collect and reconcile data from multiple sources to ensure accuracy and regulatory compliance
Demonstrate a high-level understanding of custodian capabilities and available resources to effectively support advisors
Collaborate with other members of the trading team to ensure required tasks are completed through effective communication

Qualification

FINRA Series 7FINRA Series 63/65Trading experienceBlack DiamondMicrosoft OfficeAttention to detailCommunication skillsTeamwork skills

Required

FINRA Series 7 and Series 63/65 or 66 licenses (required)
1–3 years of experience in trading, investment operations, or portfolio management within an institutional or RIA environment
Strong attention to detail, communication, and teamwork skills, with the ability to work independently under pressure
Proficiency in Microsoft Office (Teams, Word, Excel, Outlook) and other industry software

Preferred

Experience with advisor platforms like Black Diamond and custodians like Fidelity, LPL, and Charles Schwab

Benefits

401(k) matching
Dental insurance
Health insurance
Paid time off
Parental leave
Vision insurance

Company

Independent Advisor Alliance

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Independent Advisor Alliance provides a virtual admin program, succession planning, business consulting, compensation and advisory services.
dateFounded in 2013
location
Charlotte, North Carolina, USA
people-size11-50 employees
web-link
https://independentadvisoralliance.com/

Funding

Current Stage
Early Stage
Total Funding
unknown
Key Investors
LPL Financial
2023-12-18Corporate Round

Leadership Team

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Robert Russo, CEO
CEO
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David Buzo, MBA
Chief Marketing Officer at Independent Advisor Alliance
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Recent News

Morningstar.com
Income Lab and Independent Advisor Alliance Partner to Power Personalized Retirement Planning for Advisors
2025-08-07
Charlotte Business Journal
Charlotte fintech wealth advisor eyes expansion as it hits $20B milestone
2025-01-31
PR Newswire
Pontera and Independent Advisor Alliance partner to help its financial advisors optimize client wealth for more secure retirements
2024-12-10
Company data provided by crunchbase