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Fixed Income Operations Jobs in Kentucky (NOW HIRING)

Baird

Client Specialist

Hopkinsville, KY · On-site

... operational support to one or more Financial Advisors. You'll be at the heart of the client ... May enter security orders including stocks, bonds, fixed income, options, annuities and other ...

Baird

Client Specialist

Glasgow, KY · On-site

... operational support to one or more Financial Advisors. You'll be at the heart of the client ... May enter security orders including stocks, bonds, fixed income, options, annuities and other ...

Spinoso Real Estate Gro

Operations Mgr

Louisville, KY · On-site

... Income (NOI). Essential Duties and Responsibilities * Develop, implement, oversee and document ... Ability to access the mall roof via portable or fixed ladders to inspect * Ability to inspect the ...

Robert W Baird & Co

Client Specialist

Hopkinsville, KY · On-site

... operational support to one or more Financial Advisors. You'll be at the heart of the client ... May enter security orders including stocks, bonds, fixed income, options, annuities and other ...

Robert W Baird & Co

Client Specialist

Glasgow, KY · On-site

... operational support to one or more Financial Advisors.You'll be at the heart of the client ... May enter security orders including stocks, bonds, fixed income, options, annuities and other ...

Robert W Baird & Co

Client Specialist

Glasgow, KY · On-site

... operational support to one or more Financial Advisors. You'll be at the heart of the client ... May enter security orders including stocks, bonds, fixed income, options, annuities and other ...

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Fixed Income Operations information

What are Fixed Income Operations?

Fixed Income Operations refer to the back-office processes and activities that support the trading, settlement, and management of fixed income securities, such as bonds and treasury bills. Professionals in this area ensure the accurate and timely processing of transactions, reconciliation of trades, maintenance of records, and compliance with regulatory requirements. They play a crucial role in mitigating operational risk and supporting the smooth functioning of fixed income markets within financial institutions.

What are some common challenges faced in Fixed Income Operations, and how can new team members effectively navigate them?

In Fixed Income Operations, professionals often deal with high volumes of transactions, tight settlement deadlines, and complex regulatory requirements. New team members may find it challenging to manage multiple priorities while maintaining accuracy and compliance. To navigate these challenges, it's important to develop a strong attention to detail, build proficiency with relevant systems (like trade capture and settlement platforms), and communicate proactively with traders, custodians, and other internal teams. Seeking mentorship and clarifying procedures early on can also help new hires adapt more quickly and efficiently.

What are the key skills and qualifications needed to thrive in Fixed Income Operations, and why are they important?

To thrive in Fixed Income Operations, you need strong analytical abilities, attention to detail, and a foundational understanding of fixed income products and financial markets, often supported by a finance or related degree. Familiarity with trade settlement systems (such as Bloomberg, Calypso, or Murex), Excel, and knowledge of industry regulations is typically required. Excellent organizational skills, effective communication, and problem-solving abilities help professionals manage high transaction volumes and resolve discrepancies efficiently. Mastering these skills ensures accurate trade processing, regulatory compliance, and smooth back-office operations within the fast-paced financial sector.

What is the difference between Fixed Income Operations vs Fixed Income Trading?

AspectFixed Income OperationsFixed Income Trading
Primary FocusProcessing, settlement, and back-office functions for fixed income securitiesBuying and selling fixed income securities to generate profits
Required SkillsAttention to detail, knowledge of settlement processes, complianceMarket analysis, risk management, decision-making
Work EnvironmentBack-office, support teams within financial institutionsTrading floors, front-office desks
CertificationsOften requires CFA, FINRA licenses, or similarSimilar certifications, plus trading-specific licenses

Fixed Income Operations focuses on the processing and settlement of fixed income securities, ensuring smooth back-office functions. Fixed Income Trading involves actively buying and selling securities to capitalize on market movements. While both roles require financial knowledge and certifications like CFA, their daily tasks and work environments differ significantly.

What are popular job titles related to Fixed Income Operations jobs in Kentucky? For Fixed Income Operations jobs in Kentucky, the most frequently searched job titles are:
What job categories do people searching Fixed Income Operations jobs in Kentucky look for? The top searched job categories for Fixed Income Operations jobs in Kentucky are:
What cities in Kentucky are hiring for Fixed Income Operations jobs? Cities in Kentucky with the most Fixed Income Operations job openings:
Fixed Income Operations jobs near you
Head of Wealth Management Trading

Head of Wealth Management Trading

Cerity Partners

Louisville, KY • On-site

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 19 days ago

Job description

The Head of Wealth Management Trading leads Cerity Partners' dedicated central trading program, serving as the primary point of accountability for trade execution quality, operational excellence, and team culture. This leader drives a high-performance, service-first environment - minimizing trade errors, maximizing responsiveness to advisor practices, and continuously improving the workflows and tools that underpin our investment operations. The role is based in Louisville, KY office.
Primary Responsibilities:
As Head of Wealth Management Trading, you will lead the central trading team and:
  • Manage and lead the firm's dedicated central trading program - setting standards for execution quality, team accountability, and a service-first culture
  • Oversee trade execution, rebalancing, and reconciliation across participating wealth management portfolios
  • Partner with the Investment Office and Platform team on model implementation, strategy launches, UMA/SMA transitions, and portfolio construction initiatives
  • Lead development and adoption of AI-powered tools and reconciliation workflows to improve oversight across trading and advisor practice operations
  • Partner with Compliance on best execution policies, broker review, and trade error remediation
  • Manage and evolve the Salesforce trade case system as the primary communication channel between the trading team and advisor practices

Lead Trading:
  • Serve as the primary trading lead and escalation point for complex or time-sensitive executions, ensuring the team operates with speed, precision, and consistency across all custodial platforms
  • Develop and enforce trading protocols, desk procedures, and quality control standards that support a scalable, institutional-grade trading operation

Growing & Expanding Capabilities:
  • Identify and champion opportunities to expand the trading program's scope - including onboarding additional advisor practices, adding asset classes, and broadening custodial relationships
  • Evaluate and implement new trading technologies, OMS/EMS enhancements, and vendor solutions to scale capabilities as the firm grows
  • Collaborate with senior leadership to build a long-term roadmap for the central trading function, aligning trading infrastructure with firm-wide growth objectives

Migrating Accounts in Trading Models:
  • Oversee the migration of client accounts into centralized trading models, coordinating with advisor teams, the Investment Office, and custodians to ensure seamless transitions with minimal disruption
  • Establish and refine workflows for UMA/SMA account onboarding, model enrollment, and legacy account conversion in partnership with the platform and operations teams

Define & Track Metrics
  • Define, track, and report on key trading performance metrics - including trade error rates, execution quality, rebalancing turnaround times, and advisor practice satisfaction
  • Build and maintain operational dashboards that provide leadership with real-time visibility into trading desk performance and trends
  • Use data-driven insights to identify process gaps, benchmark against industry best practices, and drive continuous improvement initiatives

Strategy Responsibilities
  • Partner with the Investment Office to operationalize new investment strategies, ensuring the trading desk can effectively implement and maintain portfolio models at scale
  • Contribute to firm-wide strategic planning for investment operations, including evaluating build vs. buy decisions for trading tools, platforms, and workflows
  • Act as a key stakeholder in the firm's digital transformation efforts, providing trading desk perspective on technology roadmap priorities

Ideal Candidate Profile - "Our Casting Call!"
  • 7+ years of trading or investment operations experience at an RIA, broker-dealer, or wealth management firm; demonstrated team leadership and RIA custodial management required
  • Bachelor's degree required with concentration in Finance, Accounting, or Economics; CFA designation preferred
  • Deep knowledge of equity and fixed income trade execution, OMS/EMS platforms with Eclipse and/or Red Black experience preferred
  • Experience with Salesforce or similar CRM/case management systems in an operational trading context
  • Series 65 required within 90 days of hire; familiarity with UMA/SMA program management and model-based rebalancing a plus
  • Exceptional attention to detail; track record of proactively improving processes to prevent trade errors and operational failures
  • Service-oriented leader with clear, professional communication skills and the ability to build trusted relationships with advisor practices
  • Must be based in or willing to relocate to Louisville, KY.

Physical Requirements:
  • Prolonged periods sitting at a desk and working on a computer
  • Able to lift up to 25lbs

Why Cerity Partners:
Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
  • Health, dental, and vision insurance - day 1!
  • 401(k) savings and investment plan options with 4% match
  • Flexible PTO policy
  • Parental Leave
  • Financial assistance for advanced education and professional designations
  • Opportunity to give back time to local communities
  • Commuter benefits

Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national origin, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law.
Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reach out to careers@ceritypartners.com. Applicants must be authorized to work for any employer in the U.S.

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