Operations & Trading Specialist

About Destiny Wealth Partners

Destiny Wealth Partners is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually strive to refine our craft of personalized wealth management through our team-based service model and proprietary Retirement Distribution System, which goes far beyond the standard approach to wealth management and financial planning. We proudly provide personalized financial plans and investment management services to over 3,500 households from our five Florida offices, managing over $1.4 billion in client assets.

Our Destiny Wealth Partners team, which includes Ruggie Wealth and Destiny Wealth, was honored to be named the 2024 InvestmentNews RIA Team of the Year (10 Advisors or More). This prestigious award, according to InvestmentNews, “recognizes the significant work and achievements of the nation’s most outstanding advisory team for their excellence in areas including client service and innovation.” We are deeply proud of this recognition, which reflects our commitment to excellence in the industry.

Position Summary

The Operations & Trading Specialist is an experienced operations professional who will provide essential trading and operational support to our Wealth Advisors and internal teams. Acting as a key link between advisors, trading, and operations, this role ensures precise trade execution, prompt account servicing, and positive outcomes for both internal teams and clients. Success in this position requires keen attention to detail, strong judgment, and the ability to thrive in a dynamic, growth-focused environment.

Primary Responsibilities

• Trade Execution: Executing buy/sell orders in portfolios, particularly with model portfolios and ETFs.
• Compliance & Data Management: Verifying trades, maintaining accurate records for reporting, and ensuring compliance with regulatory requirements (SEC/state)
• Portfolio Rebalancing: Implementing asset allocation adjustments and monitoring portfolio risk and concentrations.
• Movement & Account Servicing: Processing client requests for cash withdrawals, deposits, and RMDs (Required Minimum Distributions).
• Vendor/Custodian Relations: Interacting with custodians (e.g., Schwab, Fidelity) to resolve account issues.

Trading

• Support firm trading functions, including advisor-directed trade processing, order entry, and execution support in accordance with firm policies and compliance requirements.
• Process individual trades, block trades, model changes, and special trade instructions (including trade-aways, restricted securities, and alternative investment transactions).
• Coordinate closely with advisors, portfolio management, custodians, and operations teams to ensure timely and accurate trade execution.
• Assist with trade allocations, reconciliations, post-trade reviews, and resolution of trade discrepancies.
• Maintain accurate trading records, including trade blotters, model documentation, and position reports.
• Support onboarding and setup of trading processes for new client relationships, including trading authorizations and system configurations.
• Monitor trading workflows to identify risks, inefficiencies, and opportunities for process and control improvements.

Operations

• Support day-to-day operational functions, including new account openings, account maintenance, cashiering requests, and client service transactions.
• Prepare, submit, track, and follow up on client service and account documentation to ensure accuracy, completeness, and timely processing.
• Maintain accurate client, account, and operational records across portfolio accounting systems, CRM platforms (including Salesforce), and custodial systems.
• Serve as a primary internal point of contact for advisor and internal inquiries related to account servicing and operational workflows.
• Scan, e-file, file, and organize electronic and physical records in accordance with firm policies, compliance, and regulatory requirements.
• Proactively communicate with internal stakeholders and clients to confirm completion of service requests and resolve outstanding items.
• Assist in developing, documenting, and improving operational procedures to enhance efficiency, consistency, and risk management.
• Draft, review, or edit client correspondence related to account servicing and operational matters, as requested by advisors.
• Perform general operational duties and special projects related to data integrity, workflow optimization, and process improvement as assigned.

Qualifications

• Bachelor’s degree required.
• Series 65 or requirement to pass exam within the first 90 days.
• Minimum of three years of experience in trading operations, client service, or a preferred professional financial services environment.
• Strong financial, analytical, and problem-solving skills.
• High attention to detail with excellent follow-through and organizational skills.
• Ability to work independently, take initiative, and manage multiple priorities under tight deadlines.
• Strong technology skills, including proficiency in Microsoft Excel, Word, and PowerPoint.
• Experience with portfolio accounting systems and CRM platforms (Salesforce preferred).
• Excellent interpersonal, written, and verbal communication skills.
• Ability to adapt and thrive in a fast-paced environment while maintaining a strong client-service mindset.

Why Join Us?

• Opportunity to build lasting relationships with sophisticated clients.
• Our award-winning, nationally-recognized firm, offers a client-first culture in which you can achieve your highest professional Destiny.
• Access to best-in-class tools, resources, and professionals across multiple financial disciplines.