AVP, Trading

LPL Financial; United States; On-site; USD 103,000 - 172,000; Full time

Job summary

LPL Financial is seeking an Assistant Vice President, Trading to lead a team delivering trading and platform support to financial advisors. This role balances hands-on trading with people leadership, risk management, and strategic initiatives to ensure accuracy and regulatory compliance.

You will execute trades, oversee rebalancing and model management, guide staff development, coordinate with technology and compliance, and drive process improvements that enhance efficiency and the advisor

Qualifications

• Bachelor’s degree in Finance, Business Administration, Economics, or related field.
• 5+ years in financial services, including trading operations, investment operations, or fintech support.
• 5+ years trading experience in a broker-dealer, registered investment adviser, or similar environment.
• 3+ years of people leadership, coaching, and capacity planning.
• Series 7 required and Series 24 (or ability to obtain); state registrations upon hire.

Responsibilities

• Execute trades including rebalancing, model-related, block, and advisor-directed transactions.
• Lead, coach, and develop trading professionals with clear performance expectations.
• Oversee daily trading operations, capacity, service levels, and onboarding.
• Manage competing priorities to ensure timely completion of trading and operations.
• Serve as senior escalation point for complex trade requests, errors, and system issues.

Skills

Leadership

Communication

Relationship management

Analytical

Organizational

Problem solving

Education

Bachelor’s degree in Finance, Business Administration, Economics, or related field

Tools

Microsoft Office

ClientWorks

Beta

Thomson ONE

Microsoft Dynamics

CWR

ModelHub

Job description

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our employees.

Job Overview

• This role requires the ability to work West Coast hours*

The Assistant Vice President, Trading provides strategic, operational, and hands‑on leadership for the team responsible for delivering trading and platform support to financial advisors. This individual will execute trades while overseeing rebalancing, model management, block trading, advisor onboarding, system support, platform testing, and training.

The AVP will balance daily trading responsibilities with people leadership, operational oversight, risk management, and strategic initiatives. This leader will ensure trading activities are completed accurately and in accordance with applicable policies, procedures, controls, and regulatory requirements while fostering a collaborative, accountable, and service-oriented team environment.

Responsibilities

• Execute trades, including rebalancing, model-related, block, and advisor-directed transactions, while providing coverage during periods of increased volume or limited staffing.
• Lead, coach, and develop trading professionals by establishing clear performance, service, development, and accountability expectations.
• Oversee daily trading operations, team capacity, service levels, advisor support, model management, platform testing, training, onboarding, and production support.
• Manage competing priorities to ensure trading and operational responsibilities are completed accurately and on time.
• Serve as the senior escalation point for complex trade requests, trade errors, system issues, model discrepancies, account concerns, and advisor inquiries, ensuring timely and compliant resolution.
• Monitor trading activity, workflow volumes, operational performance, platform issues, and team capacity to identify risks and improvement opportunities.
• Identify operational, regulatory, client, trading, and platform risks, and strengthen policies, procedures, workflows, and controls to promote accuracy, consistency, and effective risk management.
• Partner across Technology, Product, Compliance, Risk, Legal, Supervision, Operations, and advisor‑facing teams on platform enhancements, production issues, testing, releases, risk management, and issue resolution.
• Support advisor onboarding, education, platform demonstrations, and adoption of rebalancing, model management, and trading capabilities.
• Lead process improvements and strategic initiatives that enhance efficiency, scalability, team effectiveness, and the advisor experience.
• Perform additional responsibilities and duties as assigned.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team‑oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• Bachelor’s degree in Finance, Business Administration, Economics, or a related field, or equivalent relevant professional experience.
• 5+ years of financial services experience, including at least three years in trading operations, investment operations, or financial technology support.
• 5+ years of experience executing trades within a broker‑dealer, registered investment adviser, or comparable financial services environment.
• 3+ years of people‑leadership experience, including coaching, employee development, performance management, and capacity planning.
• Series 7 required and Series 24 (or the ability to obtain), with registration in all required U.S. states and territories upon hire.

Preferences:

• Advanced expertise in trade execution, rebalancing, model management, block trading, and advisor‑directed, custom, or high‑volume trading programs.
• Strong knowledge of broker‑dealer and RIA operations, regulations, controls, risk management, process improvement, and performance metrics.
• Experience leading trading, rebalancing, model management, portfolio operations, or financial technology teams while balancing operational oversight, escalations, and strategic initiatives.
• Strong communication, relationship management, analytical, organizational, and problem‑solving skills.
• Ability to prioritize, anticipate risks, exercise sound judgment, and work independently in a fast‑paced environment.
• Experience supporting technology releases, platform implementations, integrations, testing, advisor onboarding, education, demonstrations, and adoption.
• Proficiency in Microsoft Office and platforms such as ClientWorks, Beta, Thomson ONE, Microsoft Dynamics, CWR, or ModelHub.

Pay Range

$103,206.00 - $172,010.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, volunteer time off, and more. This role is also eligible for LPL’s discretionary bonus.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor‑mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run thriving businesses. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone].