AVP, Trading Operations & Team Leadership

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

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