Trading Associate

Overview 

Compound Planning, an SEC registered investment advisor with over $2.9B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We’re a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.

Overview about job

The Trading Associate/Portfolio Trader will play an integral role in what the Trade Desk offers at Compound Planning. The ideal candidate will have 5-7 years experience, leverage their previous experience to help solidify what the Trade Desk is able to offer to our Advisors. This role is ideal for a trading professional with deep understanding of Orion Advisor Technology, sleeve-based trading, and model portfolio construction. Being a start-up, the days and workload can be ever-changing - and oftentimes, fast-paced. As a Trading Associate, you will help with the day-to-day trading, manage portfolio allocations, ensure efficient implementation of investment strategies, look to improve outward communication and reporting metrics, and be willing to help with projects and tasks that arise on a daily basis. Please note: this is a remote role.

What you’ll do 

• Execute equity, fixed income, ETF, and option trades across client accounts with precision and efficiency

• Manage and rebalance portfolios within a sleeve-based structure, ensuring alignment with client objectives

• Construct, maintain, and trade model portfolios, optimizing allocation strategies

• Utilize Orion Advisor Technology (including Eclipse and Astro) for trading, rebalancing, and portfolio drift management

• Monitor portfolio cash balances, trade settlements, and cash movements to maintain liquidity needs

• Work closely with investment, operations, and advisory teams to ensure seamless portfolio management and trade execution

• Identify and implement efficiencies in portfolio construction, management, and trade workflows, leveraging technology and automation where possible

• Reconcile daily the previous day’s trades for completeness and accuracy

• Daily reporting to locate and research actions that require trades (i.e., new cash, new assets, out-of-tolerance positions, cash raise requests, etc.)

• Monitor daily all custodial restrictions and make the necessary updates across platforms  

• Assist with market research as it pertains to the firm’s models and their underlying securities

• Help Advisors & Client Service Associates with questions regarding the Trade Desk and our policies and procedures

What Success Looks Like 

• The ideal candidate will be able to identify areas the Trade Desk could improve and take action accordingly

• The ability to multitask, work quickly - yet carefully, and prioritize are keys to success

• Willingness to help whenever and wherever possible will be instrumental in the Trade Desk’s success

• Having a keen eye on the vision of the firm, how to constantly improve our offering to our Advisors and clients, and being diligent about keeping the Trade Desk running smoothly will be a key attribute

Competencies and Skills  

• Required: Series 65 or Series 66 

• Required: 5-7 years of trading experience at an investment firm, RIA, wealth management firm, Trade Desk, or Broker / Dealer

• Bachelor’s degree in Finance, Business, Economics, Accounting, or related field (or equivalent work / military experience)

• Familiarity with Fidelity and Schwab custodial platforms, strongly preferred

• Proficiency with Orion Technology (Eclipse, Astro) experience, strongly preferred

• Strong knowledge of sleeve-based trading and model portfolio construction

• Experience trading equities, fixed income, ETFs, mutual funds, and options within managed accounts

• Ability to analyze portfolio drift, rebalance strategies, and tax-efficient trading

• Analytical mindset and detail-oriented

• Previous experience with Salesforce preferred

• Proficient with Microsoft Excel

• Proven competency in investment portfolio management skills, familiarity with industry terminology and trading concepts, knowledge of different account types

• Agile, comfortable with change, excited to work in a fast-paced environment

Working at Compound 

Compound’s work culture is designed to help you maximize your effectiveness. Your job will be doing. We ruthlessly prioritize protecting your time and potential. You’ll work with exceptional teammates, who want to help you succeed. $84 trillion dollars will be passed on to the next generation in the next couple of decades. The companies that earn their trust to manage that wealth will be immensely more successful than today’s largest financial institutions.

Compensation
Base cash compensation for this role starts at $90,000 for candidates in high-cost regions, with adjustments based on location and experience. We follow a regionalized compensation model, aligning salaries with market norms in different cost-of-living areas.

For transparency, our base salary ranges are:

• High-Cost Regions (e.g., NYC, SF, Seattle, Boston, LA): $90,000+

• Mid-Cost Regions (e.g., Chicago, Denver, Austin, Miami): $80,000+

• Low-Cost Regions (e.g., most of the Midwest, South, and smaller metro areas): $70,000+

Overview 

Compound Planning, with over $1B AUM added since 2022, is a high growth digital family office for entrepreneurs, professionals, and retirees. We’re a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform.