HELLO AND WELCOME!

JOB DESCRIPTION

Do you have a passion for delivering superior customer service while being a key player in the essential daily functions of a successful office?  Our established financial services firm located in Waukesha, Wisconsin is looking for an experienced Trading Representative.  This position requires a blend of technical trading expertise, a deep understanding of financial markets, and excellent client service skills to ensure trades are executed correctly and clients are satisfied. It’s crucial that the individual in this role can work effectively under pressure and navigate the complexities of both client service and market operations.  This individual will also be responsible for a variety of pertinent tasks, allowing the financial advisor to focus on the continued growth of the business.  The ideal candidate will have superior customer service skills, a strong work ethic, attention to detail and enjoy working with clients daily.  If you are looking for an opportunity to take the initiative to make a difference within the office, please apply today!

Our expectations are high, the compensation package is generous, our culture is a top priority, and we take care of our employees and customers. You will have ample support, coaching and time to understand and master the various deliverables required.

The ideal candidate is happy where he/she is currently employed but is interested in a more self-directed work environment and responsibility. We would like to hire someone who is interested in a career, not a job, who wants to do the work and be recognized for a job well done. Flexibility and autonomy will require you to be very organized, detail-oriented, and efficient with a commitment to accuracy. 

Minimum Requirements:

• 2-5 years experience in financial services or trading, ideally in client services or trading support roles
• Series 65  or working toward obtaining certification preferred
• Strong familiarity with financial products and services, such as retirement plans, mutual funds, or insurance products, including stocks, bonds, ETFs, mutual funds, options, etc.
• Experience with Google Suite and ability to learn new software quickly
• Experience with platforms like Schwab Advisor Services, Fidelity, or others.
• CRM experience preferably with Salesforce

This position requires that you possess the following skills:

• Strong ability to build and maintain relationships with clients
• Excellent communication and interpersonal skills
• Ability to assist financial advisors and clients with trade execution and portfolio-related matters while ensuring compliance with trading policies and procedures
• Ability to identify and resolve client issues effectively and efficiently
• Precision in managing client accounts, documentation, and note taking

Responsibilities:
Daily priorities are to process and execute client orders (equities, mutual funds, etf’s etc.) in compliance with firm policies and regulatory guidelines, respond to client emails, phone calls, and assist clients with account-related inquiries, monitor and track the status of client orders, ensuring they are executed correctly and efficiently, and provide administrative support to financial advisors and other team members.

Additional daily, weekly, and/or monthly tasks include:

• Input notes into CRM and keep updated
• Assist financial advisors with trade allocations and portfolio rebalancing
• Strong focus on providing top-notch service to clients
• Ability to work well with others in a collaborative office environment

Salary Base

• $60,000 – $75,000 per year – Based on Experience

Money for Nothing

Start with three weeks paid time-off each year and earn more based on tenure.

Additional Days Off

When we meet our goals, we prefer to give employees extra days off. 

Retirement

We offer Traditional and Roth 401(k)s with a 3% company match, regardless of your contributions. We can also help you to fund a Traditional IRA or Roth IRA. We know a lot about money, it’s what we do!

Let’s Stay Healthy

Group health insurance plan with a great provider network, it is the same health insurance that Tony has for himself! We offer health, dental, vision and life insurance.

Hungry?

Free Lunches provided for weekly team building

Free coffee, tea, sodas, water and hot cocoa — all on-site

Want To Lend a Hand?

We support local charities financially and with paid time-off to volunteer! Use The Force, Luke! Mentorship is part of the deal, we want to help you as a person, not just as an employee.

Wow, You’re Smart!

We’ll pay for you to obtain your life insurance license; health insurance license and Series 65 securities registration and we will even pay for your Certified Financial Planner® designation!

Let’s have fun!

Quarterly team lunches and team building events off site as well as our Annual Team Holiday Party!

Paid-for Annual Trips

Company hits our goals, let’s all travel together!