Manager, Trading

LPL Financial; Charlotte (NC); On-site; USD 80,000 - 133,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Trading Manager to lead a team responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities. The Manager will guide daily trading operations, demonstrate strong business judgment, and build collaborative relationships across the organization.

The role requires leadership experience, Series 7 and 24, and a deep understanding of trading regulations.

Qualifications

• Bachelor’s degree or 5+ years in financial services, preferably in Trading.
• 3+ years of client service, trading operations, or financial technology support.
• Leadership, team lead, or people management experience.
• Series 7 and Series 24 required.
• Registration in all required U.S. states and territories upon hire.
• Knowledge of trading regulations and requirements.

Responsibilities

• Leads and supports trading staff responsible for advisor support, model management, rebalancing, and block trading.
• Coaches staff with regular feedback, career planning, and cross-training.
• Holds meetings with direct reports; provides performance feedback and sets expectations.
• Delegates responsibilities to strengthen communication, leadership, and analytical skills.
• Oversees daily workflows to meet service expectations and complete processes.
• Manages team capacity and priorities across advisor support, platform testing, onboarding, and project work.
• Develops and maintains relationships with internal and external partners.
• Coordinates onboarding and training of team members; communicates system/process changes.
• Supports advisor onboarding and post-conversion readiness and issue management.
• Recognizes risk and escalates issues to senior leadership as needed.
• Drives process improvement and effective use of team resources.
• Reviews controls to identify risk and ensure proper controls.
• Partners with Technology and Product on system issues and platform readiness.
• Leads or oversees UAT and business validation for technology releases.
• Supports senior leadership with complex escalations.

Skills

Leadership

Coaching

Communication

Analytical skills

Risk assessment

Strategic thinking

Education

Bachelor’s degree in related field

Tools

Jira

QA/UAT testing

Agile project management

CRM tools

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:

The Trading Manager supervises and supports staff responsible for providing trading and system support to LPL advisors using rebalancing, model management, and block trading capabilities.

The Manager is expected to demonstrate strong business judgment, knowledge of daily trading operations, and an understanding of department policies, procedures, systems, and regulatory requirements. This role is also responsible for creating a collaborative team environment, developing employees, managing competing priorities, and building strong relationships with internal and external business partners.

Responsibilities:

• Leads, develops, and supports trading staff responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities.
• Supports employee development through regular coaching, feedback, career planning, cross-training, and development opportunities.
• Holds regular meetings with direct reports and provides timely feedback on performance, development, and team expectations.
• Delegates responsibilities that help employees strengthen communication, leadership, technical, and critical-thinking skills.
• Oversees daily workflows to ensure service expectations are met, escalations are addressed, and required operational processes are completed.
• Manages team capacity and priorities across advisor support, platform testing, onboarding, demonstrations, training, and project work.
• Develops and maintains relationships with internal and external business partners.
• Coordinates the onboarding and training of new and existing team members and communicates changes to systems, processes, and procedures.
• Supports advisor onboarding and conversion-related readiness, training, issue management, and post-conversion support.
• Recognizes operational, regulatory, client, and platform risk and escalates issues to senior leadership as needed.
• Drives operational excellence through continuous process improvement and effective use of team resources.
• Reviews policies, procedures, and controls to identify risk and ensure appropriate controls are in place.
• Partners with Technology and Product teams on system issues, requirements, platform readiness, and production support.
• Leads or oversees UAT and business validation efforts supporting technology releases and platform enhancements.
• Supports senior leadership with complex escalations from advisors, clients, employees, and internal business partners.
• Ensures escalated trading and system issues are accurately researched, reviewed, and resolved.
• Monitors trends across advisor contacts, system issues, operational workflows, and team capacity to identify potential risks or improvement opportunities.
• Supports cross-functional initiatives related to rebalancing, model management, advisor adoption, and trading platform strategy.
• Additional responsibilities or duties may be assigned as needed.

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.We are looking for an experienced leader who can balance people leadership, daily operations, client support, and platform readiness. The ideal candidate can develop others, make sound decisions, manage complex escalations, identify risk, and partner effectively across Trading, Technology, Product, Operations, and other areas of the firm.

Qualifications:

• Bachelor’s degree in a related field or 5+ years of financial services experience, preferably in Trading
• 3+ years of client service, trading operations, or financial technology support experience
• Previous leadership, team lead, coaching, or people management experience
• Series 7 required
• Series 24 required
• Registration in all required U.S. states and territories upon hire
• Knowledge of trading regulations and requirements
• Written and verbal communication skills
• Problem-solving, organizational, and analytical skills
• Ability to manage competing priorities and work independently
• Ability to identify trends, anticipate risk, and exercise sound judgment when escalating critical issues
• Ability to build sustainable relationships with employees, internal departments, and external partners

Preferences:

• Experience leading teams that support trading, rebalancing, model management, CRM, or financial services platforms
• Experience with Jira, agile project management, and QA/UAT testing
• Experience leading technology releases, platform implementations, or advisor onboarding initiatives
• Experience with operational controls, risk management, and process improvement
• Microsoft Office skills
• Experience with Beta, Thomson ONE, Microsoft Dynamics, ClientWorks, CWR, or ModelHub is a plus

#LI-PA

Pay Range:

$79,928.00 - $133,282.00 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, paid time off, volunteer time off, and more.

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 a thriving business. 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. Principals only. EOE.

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].

EAC 5.19.26