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Careers

Working at Nations

Join Our Skilled Team at Nations

Nations Financial Group, Inc. is a rapidly growing independent Registered Investment Advisory (RIA) firm and registered Broker Dealer serving independent Advisors and Registered Representatives nationwide.  Headquartered in Cedar Rapids, Iowa, we are proud of our Midwest roots, our integrity, strong work ethic, and culture of helping others.

We genuinely care about our Advisors and their teams.  This is most evident in our founding principles of TrueWealth.  That same TrueWealth mission applies to our team members and their families by promoting work/life balance and personal flexibility.

At Nations, our team members strive daily to provide the best experience for our Advisors and their team members. We are always interested in highly motivated candidates who share our core values and our TrueWealth mission.  If you are a focused problem solver who enjoys helping others, consider a career at Nations Financial Group.

JOIN OUR TEAM

Benefits of Working at Nations

Medical, Dental, and Vision Benefits
Health Savings Account (HSA)
Basic Life, Accident and Disability
Long Term Disability
401(k) with Matching
Profit Sharing Plan
Paid Holiday
Paid Time Off (PTO)
Work-Life Balance

 

Current Openings

Department

Technology 

Job Level

Specialist 

Exemption Status

Exempt

Reports To 

Director Of Technology

Position Summary

A qualified IT Support Specialist who will support, set up, and train users on cloud-based Fintech solutions. A successful IT Support Specialist must have a thorough knowledge of computer software and hardware and various internet applications, working knowledge of network and operating systems. The ideal candidate will have great troubleshooting abilities and attention to detail with an aptitude for learning.

Essential Duties and Responsibilities

  • Responding promptly to service issues and support requests
  • Perform troubleshooting to diagnose and resolve problems
  • Maintain service issues and support requests tickets of repairs and fixes
  • Provide orientation and guidance to users on “how to” FinTech and cloud-based software solutions
  • Setup accounts for new users across multiple platforms
  • Install and configure computer software, systems, printers, and scanners
  • Create and maintain documentation
  • Manage cloud system configurations
  • Assist leadership in data mining and report generation

Skills

  • Positive and friendly attitude
  • Enjoys working with and helping clients and customers
  • Working knowledge of Windows operating systems and Office
  • Excellent diagnostic and problem-solving skills
  • Excellent communication ability
  • Outstanding organizational and time-management skills
  • Working knowledge of databases and data reporting

Minimum Education and Experience 

  • BA or Technical Degree Preferred; however, any schooling directed at the technical field, financial industry, or related experience would be acceptable.
  • Familiar with cloud computing services: Azure, Office 365, familiarity with Fintech Cloud solutions a plus.
  • Knowledgeable of Microsoft Windows domain environments, office networking, telecommunications, and business applications/systems
  • Strong analytical skills, self-directed, and ability to work well in a team environment
  • Strong technical aptitude
  • Ability to learn and apply troubleshooting methods
  • Exceptional written and verbal skills
  • Database and SQL knowledge including MS Access, MS SQL, Excel, Power Query, and PowerBI
  • Experience with low code automation, RPA, AI, and API’s a plus
  •  

Desired Skills and Competencies 

  • Customer service mindset with good to great phone skills
  • Creative thinker
  • Aptitude in decision-making and problem-solving
  • Self confident and goal-oriented
  • Seeks advancement and knowledge in the IT space

Minimum Skills and Competencies Required to Perform Job Competently 

Must be highly motivated, comfortable working independently, good decision making, and organizational skills complemented with a sufficient ability to work with various personality types. Must have effective written and verbal communication skills.

  • Able to work independently with good problem solving, mathematical, and time management skills
  • Work experience that demonstrates interpersonal and teamwork skills
  • Organized, meticulous, detail-oriented, and able to multitask
  • Professional attitude, demeanor, and appearance with the ability to represent Nations positively in the community

Travel Frequency (Amount of Time Working Outside the Office): 1%

Approximately 10%. Ability to travel locally within a specific geographic area; some travel outside of the particular geographic location as applicable.

Disclaimer:  The above statements are intended to describe the general nature and level of work performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of employees so classified.

Department

Trading and Risk

Job Level

 

Exemption Status

Exempt

Reports To 

Chief Compliance Officer 

Position Summary

The Trading and Risk Specialist supports the Chief Compliance Officer in implementing procedures to ensure that the organization’s compliance programs are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations while also executing all functions of the Firm’s trade desk. This position is primarily responsible for executing the trade desk, its functions, and performing various supervisory reviews and oversight using a principle and risk-based approach

Essential Duties and Responsibilities

  •  Principal review of registered representative’s day-to-day securities activities including, but not limited to, suitability review of brokerage accounts, advisory accounts, and direct business accounts such as annuities and alternative investments
  •  Review securities trades and address/reconcile flagged trades
  •  Review all forms of correspondence and public communications
  •  Supervise the Nations-related activities of non-registered associated persons
  •  Follow up with registered representatives on issues identified by other associates, such as responses to the quarterly policy acknowledgments, audit findings, and surveillance inquiries
  •  Document, manage and escalate supervisory concerns through supervision or escalation cases
  •  Providing guidance, advice, and/or training and educational programs to improve associated persons’ understanding of related laws and regulatory requirements.
  •  Ensure that various supervisory tasks are conducted according to the Firm’s policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies (trade, correspondence, etc. reviews)
  •  Understand all facets of the Written Supervisory Procedures manual and consult with the CCO on any issue where additional guidance is necessary to perform the supervisory functions
  •  Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications, and establishing personal networks.
  •  Conduct Branch Examinations and Reviews
  •  Execute all Trade Desk duties including but not limited to: trade execution, trade corrections, trade reporting, bond trading, block trading, portfolio trading.
  •  Assist with any regulatory examinations or investigations as needed
  •  Support the Firm’s discount brokerage clients and activities
  •  Various other duties as necessary

Minimum Education and Experience 

  •  5+ years of industry experience in a compliance role with a FINRA registered broker-dealer and/or SEC registered investment advisor.
  •  Series 7, 63, 24, and 65 or 66 are required.
  •  Life and insurance license and Series 53, 4, and 55 a plus, but not required
  • Clean U-4 and excellent credit history

Desired Skills and Competencies

  • Investigative Research
  • Financial Analyst
  • Due Diligence
  • Examiner
  • Insurance product knowledge

Required Skills – Minimum Skills and Competencies Required to Perform Job Competently 

Must be highly motivated, comfortable working independently, good decision making, and organizational skills complemented with effective communication abilities to work with all associated persons’ groups. Must have effective written and verbal communication skills.

Travel Frequency (Amount of Time Working Outside the Office): 15%

Approximately 10-15%. Ability to travel locally within a specific geographic area; some travel outside of specific geographic areas as applicable.

Disclaimer: The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees so classified.