We are looking for a professional to join our fast-paced trading desk that supports a retail broker/dealer and RIA. This role is responsible for the full lifecycle of order entry and trade support across a range of asset classes including mutual funds, equities, options, fixed income, and annuities. Orders are received via phone or electronically through our clearing firm’s platform and from PAS Registered Representatives and clients. The role also provides trading support for our proprietary managed account products. A strong understanding of borrowing, margin, lending, SMA, calls, extensions, Regulation T, and trade issue resolution is essential.

Experienced in securities operations

Interested in financial markets

Ability to work in a fast-paced environment

Client-centric and results-focused

Accept, place, and review equity, fixed income, options, and mutual fund trades

Review and release online orders submitted by Representatives

Support our Managed Account platform through Envestnet, including model management

Enter and manage annuity orders via AnnuityNet

Review client transactions for accuracy and compliance (e.g., mutual fund share classes, breakpoints, ROA, LOI)

Build and analyze bond ladders (Treasuries, Agencies, Corporates, Municipals)

Ensure compliance with regulatory and firm rules related to margin, options, and trading

Monitor trade alerts and advance as necessary

Manage trade-related processes including order entry, settlement, and trade corrections

Complete daily operational exception reports, such as unreconciled activity and best execution

Collaboration with Compliance on regulatory reporting and trade surveillance

Document procedures and recommend operational improvements

Perform additional duties as assigned

Demonstrated ability in a trading operations role at a Broker/Dealer (BD) or Registered Investment Advisor (RIA)

Experience with equities and fixed income trading required

Bachelor’s degree preferred or equivalent work experience

Active FINRA Series 7 and 63 licenses required

Strong service orientation and communication skills

Familiarity with Pershing systems and Envestnet a plus

Excellent organizational and time management skills

Ability to communicate effectively at all levels of the organization

Self-starter with the ability to work independently

Salary Range:

The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.

Our Promise

At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals.  Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Inspire Well-Being

As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.

Equal Employment Opportunity

Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.

Accommodations

Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact applicant_accommodation@glic.com.

Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.