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Job Details

Trading Specialist

Company name
Loring Ward International Ltd

San Jose, CA

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Job Purpose

Loring Ward is a financial services company dedicated to

helping independent financial advisors run better practices. The Advisor Services group works to enhance

the experience of financial advisors by providing clients with error-free

operations and superior customer service.

The Trading Specialist processes trade requests received

from financial advisors and serves as a liaison with our custodian

partners. The candidate is responsible

for ensuring accounts are traded in a timely and accurate manner. Duties often fluctuate with market volatility

and seasonal volumes, so flexibility and working well under pressure will be

critical to meet deadlines and ensure accurate trading.

Duties and Responsibilities

  • Rebalance client portfolios to maintain investment

    objectives and invest new deposits
  • Reconcile daily transactions and resolve discrepancies with

    our custodians of assets
  • Provide superior, friendly and knowledgeable service by

    telephone and e-mail with financial advisors
  • Effectively prioritize work to meet trade deadlines and service

    level agreements
  • Other duties will be

    assigned as needed



  • Must have at least 1-2 years of financial services

    experience, including telephone customer service experience.
  • Series 7 and 63 or 66 required. Series 24 a plus.
  • Experience working with RIAs and Independent Financial

    Advisors a plus.


  • College degree required.

    Three years of experience in financial services may be used in lieu of a

    college degree.
  • Equity and mutual fund trading experience and familiarity

    with Pershing, Charles Schwab Institutional, Fidelity Institutional, or TD

    Ameritrade Institutional a plus.


Skills, and Abilities

  • Desire to take ownership and provide the best customer

    service in the industry
  • Energetic self-starter with an extremely positive, can-do

  • Knowledge of financial terms
  • Strong organization skills with exceptional attention to

  • Pro-active with ability to think ahead and act independently
  • Must work well in a team environment, supporting others and

    filling in as necessary
  • Must be able to prioritize and switch tasks as needed
  • Comfortable with web-based applications



  • There is occasional weekend and late-night work required,

    specifically around high volume times such as the end of a quarter and tax

    season. This is a fast-paced environment

    requiring quick thinking and a constant desire to do our very best for the

    financial advisor.

Company info

Loring Ward International Ltd
Website :

Company Profile
Loring Ward was founded with one simple, straight forward mission: to serve and support independent Advisors and their clients. We bring passion, commitment and dedication to every aspect of our business, whether it is serving as an Advisor’s complete back-office solution or helping Advisors build custom-tailored portfolios with better tools. Loring Ward has a long history of innovation, including being one of the first firms to partner with Dimensional Fund Advisors, one of America’s most respected institutional money managers. All our portfolios are built with funds from Dimensional and/or Loring Ward’s own fund family, the SA Funds - Investment Trust , which are sub-advised by Dimensional.

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