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The Operations Associate - Trader plays a key role in supporting the operational foundation of Provenance Wealth Advisors. This position ensures seamless back-office processes, high-quality service to Advisor teams, and operational efficiency across custodial platforms. Acting as a central resource for paperwork processing, system coordination, and service support, the Operations Associate helps ensure Advisors can maximize client-facing time while maintaining operational integrity and compliance.
DESCRIPTION
Technical Responsibilities
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Execute equity, fixed income, alternative investment, structured notes, and bond trades across multiple custodial and technology platforms.
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Process and allocate trades accurately within portfolio management, trading, and custodial platforms, ensure proper account-level execution and reconciliation.
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Monitor and resolve trade settlement issues, failed trades, and reconciliation discrepancies with custodians and clearing firms.
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Ensure all trading activity complies with firm policies, best execution standards, and applicable regulatory requirements.
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Assist with model implementation and trading.
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Manage and execute trading functions across multiple custodians and/or Black Diamond platforms.
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Manage reconciliation and ongoing maintenance of the Orion platform and client accounts.
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Maintain and update electronic client records and investment files in alignment with data integrity and compliance standards.
Client-Related Responsibilities
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Coordinate with advisors and client service teams to ensure trade execution aligns with client objectives, restrictions, and timing requirements.
Operations Associate Job Description
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Assist in communicating trade activity, settlement timing, and investment-related operational matters to advisors and internal client-facing staff.
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Address client-related trade issues in a timely and professional manner.
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Collaborate closely with advisors on investment implementation for complex client portfolios, including taxable and non-taxable accounts.
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Support documentation and tracking for client-approved investment strategies, including alternatives and non-traditional investments.
Team Responsibilities
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Collaborate closely with Portfolio Managers, Compliance, and Client Service teams to ensure seamless trade execution and operational consistency.
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Serve as a subject matter resource for trading operations, instruments, and execution workflows across the firm.
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Participate in continuous improvement of trading processes, workflows, and controls to enhance efficiency and reduce risk.
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Support internal audits, regulatory exams, and due diligence requests related to trading and investment operations.
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Maintain a high level of confidentiality and professionalism when handling sensitive client and firm information.
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Stay current on market structure, trading mechanics, and operational implications of new investment products.
Work environment
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This role is based in a professional office environment and routinely uses standard office equipment such as computers, phones, and photocopiers.
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Occasional travel may be required to attend meetings, conferences, and client engagements.
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The role requires the ability to manage multiple priorities and work in a fast-paced, dynamic environment.
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This role requires the ability to maintain strict confidentiality regarding sensitive company and client information.
Education/Experience
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Associate or bachelor’s degree preferred.
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3 – 6 years of experience in a financial services environment, preferably in a trading/operations role.
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Proficiency in Microsoft Office Suite (Excel, Word, Outlook, PowerPoint).
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Familiarity with financial custodians such as Raymond James, Schwab, or Fidelity, and/or Portfolio Management platform Black Diamond, is a plus.
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Interest in growing within the wealth management industry.
Operations Associate Job Description
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Affirmative Action/EEO Statement
Provenance Wealth Advisors is an equal opportunity employer and is committed to fostering a diverse and inclusive workplace. We are dedicated to the principles of equal employment opportunity and affirmative action, and we encourage applications from all qualified individuals regardless of race, color, religion, gender, sexual orientation, national origin, age, disability, veteran status, or any other protected characteristic. We believe that a diverse workforce enriches our organization and enhances our ability to meet the needs of our clients and community

If you like wild growth and working with happy, enthusiastic over-achievers, you'll enjoy your career with us!