We are seeking an experienced Investment Associate to deliver exceptional trading solutions to our clients. You will play a pivotal role in executing and managing financial transactions across a range of assets, primarily exchange-traded funds (ETFs), mutual funds, and fixed income. Your expertise and decision-making will directly impact the company's success in the global financial markets. You will work closely with our Investment Manager to identify and implement trading strategies that maximize returns and keep client portfolios aligned to individual risk objectives. This is a hybrid role, 2-3 days a week in the office. Candidates must be located near one of our offices: Currently we are targeting the (Dallas, TX) area as the primary office location.
What you will do:
- Responsible for placing trades, raising cash for distribution requests and implementation of the intended investment strategy.
- Review accounts on a weekly basis for opportunities to tax harvest, rebalance, allocate cash and replenish cash.
- Utilize trading platforms and software to execute orders efficiently.
- Manage and optimize trading portfolios while adhering to risk and compliance guidelines.
- Stay informed about industry trends, regulations, and developments that may impact the trading environment.
- Act swiftly and decisively in response to changing market conditions or portfolio changes.
- Work with Investment Manager to evaluate changes in process or systems to increase efficiency and impact to the company.
- Communicate with company’s wealth managers and client service staff regarding trade-related activity.
What you need to have:
- Bachelor's degree in finance, economics, business, or a related field
- Proven experience as a trader in a financial institution
- In-depth knowledge of financial markets, trading instruments, and asset classes
- Strong analytical skills and the ability to make data-driven decisions
- Proficiency in using trading software and platforms
- Excellent risk management and decision-making abilities
- Strong communication and interpersonal skills
- Ability to work well under pressure and in a fast-paced environment
- Understanding of risk management principles and compliance regulations
- Series 65 license
What is nice to have:
CERTIFIED FINANCIAL PLANNER® Certification
Travel requirements: none at this time
Compensation Range:
The base annual salary for this role is $55,000.00 to $75,000.00, plus a performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI -Hybrid
Skills Required
- Bachelor's degree in finance, economics, business, or a related field
- Proven experience as a trader in a financial institution
- In-depth knowledge of financial markets, trading instruments, and asset classes
- Strong analytical skills and ability to make data-driven decisions
- Proficiency using trading software and platforms
- Excellent risk management and decision-making abilities
- Strong communication and interpersonal skills
- Ability to work well under pressure in a fast-paced environment
- Understanding of risk management principles and compliance regulations
- Series 65 license
- CERTIFIED FINANCIAL PLANNER certification
Cetera Financial Group Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Cetera Financial Group and has not been reviewed or approved by Cetera Financial Group.
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Healthcare Strength — Health coverage is described as comprehensive, including medical, dental, vision, mental‑health support, and optional pet insurance. Feedback suggests the breadth of coverage is a relative strength.
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Leave & Time Off Breadth — Time off includes a sizable PTO allotment with paid holidays, a dedicated wellness day, and a paid volunteer day. Feedback suggests the time‑off package exceeds basic employer offerings.
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Retirement Support — Retirement support includes a 401(k) with company match and access to one‑on‑one financial planning. Feedback suggests the retirement program can be competitive, though specifics may depend on role or plan.
Cetera Financial Group Insights
What We Do
Cetera Financial Group empowers the delivery of professional financial advice to individuals, families and company retirement plans across the country. We support independent and institutions-based advisors, tax professionals, and bank and credit union investment programs, ensuring they have the objective research, regulatory guidance, technology, tools and resources they need to help them and their clients pursue their dreams for the future. While our multiple distinct firms allow us to customize how we serve the needs of each advisor and investment program, all are united through our exclusive Advice-Centric Experience™, which makes the delivery of financial insight and advice more efficient, more transparent, and more human. Cetera Financial Group” refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC. Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services
