Senior Trader

Elser Financial Planning, Inc is a fee-only, independent Registered Investment Advisor (RIA) firm. We serve as a fiduciary, providing comprehensive financial guidance and investment management services to our clients.

Position Overview:

The Senior Trader position provides critical support to the firm and our daily operations. In this role, you will have the opportunity to interface with advisors and other operations/trading team members in a highly professional and collaborative environment. The ideal candidate will possess strong attention to detail and organizational skills.

Duties and Responsibilities:

• Primary responsibility for the trading functions within the firm.
• Organize and execute equity, mutual fund, and fixed-income trades, while ensuring that all trade policies and practices are compliant with best-execution policies.
• Implement investment strategies, ensuring that the firm’s investment strategies are accurately executed and in compliance with client investment policy statements.
• Process simple and complex tax trading requests for gain/losses.
• Manage client portfolios, including rebalancing and processing money movement requests, such as wire transfers/ACH distributions, family gifting, charitable gifting and other asset movement requests
• Collaborate with advisors to design and execute portfolio implementation plans.
• Assess and apply technological solutions to provide efficiencies in all areas of the trading and portfolio-management processes.
• Monitor market conditions and execute trades in a timely and efficient manner.
• Proactively analyze clients’ portfolio allocation to determine if they are within tolerance bands.
• Audit client transactions, fees, cash balances, and securities to ensure compliance with firm policies.
• Ensure adherence to internal controls, compliance requirements, and regulatory standards (e.g., SEC, FINRA).
• Participate in continuous process improvement efforts and support implementation of trading system enhancements.
• Maintain accurate records of trades and transactions.
• Generate quarterly performance reports and billing invoices.
• Other duties as assigned.

Desired Qualifications:

• Minimum of 3 years of trading experience
• Series 65 (or equivalent)
• Competency with portfolio management software preferred
• Proficient with Microsoft Office, including Outlook, Excel, Word, etc.
• Sound judgment and the ability to be proactive and decisive.
• Strong attention to detail while working in a fast-paced environment.
• Ability to work independently and with a team.

Compensation & Benefits:

• Salary: $100,000 - $130,000 with potential for bonus and equity ownership
• Insurance: Health and Long-Term Disability
• Vacation days: 15 PTO days
• Holidays: 8 paid holidays
• Simple IRA with 3% match

Elser Financial Planning is an Equal Opportunity Employer. The firm does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.