Senior Trading Specialist- Series 7 Required

Vaco is partnering with a client in Tempe, AZ to hire a Senior Trading Specialist. In this role, you will handle incoming calls and online service tickets related to trades executed by financial advisors, ensuring all transactions are processed accurately and efficiently within the system.
The ideal candidate will hold an active Series 7 and Series 63 or 66 license and bring strong attention to detail and client service skills.
This is a direct-hire, hybrid opportunity offering up to $81,000 annually plus bonus. The client is hiring immediately

Key Responsibilities:

• Monitor processes for quality and risk control and report any issues or suggested improvements to management.
• Maintain a solid understanding of the company's trading operations and be able to explain processes to financial professionals.
• Support financial professionals by identifying their needs, clarifying questions, and offering helpful suggestions.
• Assist internal and external partners with trade transactions, corrections, research, and other related requests.
• Keep accurate and timely records, reports, and documentation.
• Help train new team members, support management with reviews, and handle basic issue escalations.
• Assist leadership with reports and meetings related to trade and regulatory updates.
• Perform other duties as assigned.

Knowledge, Skills & Abilities:

• Must understand the operational and regulatory aspects of trading various security types through a 3rd party custodian
• Ability to interact well with internal and external customers
• Must be able to perform duties accurately and timely
• Must be recognized as a go-to person for questions and escalations
• Must exemplify corporate mission statement and advisor first culture
• Must be proficient with Microsoft Outlook, Word, and Excel. Must have basic knowledge of Power Point

Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual's skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting. The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company's 401(k) retirement plan.

Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.

EEO Notice

Vaco by Highspring is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law.

Vaco by Highspring and its parents, affiliates, and subsidiaries are committed to the full inclusion of all qualified individuals. As part of this commitment, Vaco by Highspring and its parents, affiliates, and subsidiaries will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact HR@vaco.com .

Vaco by Highspring also wants all applicants to know their rights that workplace discrimination is illegal .

By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present your as a candidate for the foregoing employment opportunity. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. You also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal.

Privacy Notice

Vaco by Highspring and its parents, affiliates, and subsidiaries ("we," "our," or "Vaco by Highspring") respects your privacy and are committed to providing transparent notice of our policies.

• California residents may access Vaco by Highspring HR Notice at Collection for California Applicants and Employees here .
• Virginia residents may access our state specific policies here .
• Residents of all other states may access our policies here .
• Canadian residents may access our policies in English here and in French here .
• Residents of countries governed by GDPR may access our policies here .

Pay Transparency Notice

Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to:

• the individual's skill sets, experience and training;
• licensure and certification requirements;
• office location and other geographic considerations;
• other business and organizational needs.

With that said, as required by local law, Vaco by Highspring believes that the following salary range referenced above reasonably estimates the base compensation for an individual hired into this position in geographies that require salary range disclosure. The individual may also be eligible for discretionary bonuses.

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