CAAP Trader

Overview:

About Us: Cambridge Investment Research Inc. is one of the nation’s top independent financial solutions firms. We are committed to fostering an inclusive and dynamic work environment where innovation, collaboration, and growth are encouraged. Our team is dedicated to driving success and creating a workplace where every employee feels valued and empowered.

Job Summary: The CAAP Trader plays a pivotal role in executing a wide range of trades, including Fixed Income, Equities, ETFs, Options, UITs, and Mutual Funds, ensuring accuracy and alignment with client objectives. This role serves as a key resource for providing exceptional customer service, resolving trade-related issues, and maintaining compliance with internal and external policies. By leveraging deep product knowledge, this position supports financial professionals and clients through troubleshooting, research, and consistent follow-up to address inquiries and resolve discrepancies effectively.

This role offers an opportunity to work in a dynamic trading environment, directly supporting financial professionals and clients, and contributing to the organization’s commitment to excellence and compliance.

Essential Duties:

• Execute and manage all types of trade transactions, including Fixed Income, Equities/ETFs, Options, UITs, and Mutual Funds, ensuring precision and adherence to client goals.

• Deliver superior customer service by addressing inquiries related to trading, supplying necessary information, and coordinating with internal teams to track and resolve open issues.

• Review transaction reports to identify and take appropriate trade actions as needed.

• Monitor accounts to ensure alignment with assigned models, making necessary adjustments as required.

• Conduct thorough research and apply product knowledge to troubleshoot errors and resolve issues for financial professionals and clients.

• Communicate and clarify internal policies, procedures, and external clearing firm regulations to financial professionals, highlighting any potential violations to management.

• Stay up-to-date on industry trends and regulatory updates to enhance service delivery and maintain compliance.

Education & Experience:

The ideal candidate would possess an intermediate level of experience, typically around 3+ years of experience in trading and/or the financial industry.

Certificates & Licenses:

This job requires obtaining FINRA Securities Industry Essentials (SIE) and Series 7 within 12 months.

Compensation: $50,000-$60,000. This range is a good faith estimate of the compensation to be offered for this position based on the ideal candidate’s qualifications, the Company’s operational needs, and other considerations permitted by law. The actual pay offered to a specific candidate may vary above or below the stated range.

What We Offer:

• Health & Wellness: Comprehensive medical, dental, and vision plans; wellness stipends and resources; and mental health support.
• Financial Security: 401(k) retirement plan with company matching program
• Time Off & Flexibility: Paid time off, eleven paid holidays, family leave, and options for hybrid work.
• Career Growth: Access to learning platforms, mentorship programs, and leadership training.

You can find more details about our comprehensive benefits package here.

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