Manager, Trading

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

Job summary

LPL Financial Holdings Inc. is seeking a Trading Manager to supervise staff delivering trading and system support to advisors, utilizing rebalancing, model management, and block trading capabilities.

The role requires strong business judgment, regulatory awareness, and the ability to build collaborative partnerships with internal teams and external partners. Leadership, coaching, and risk management are essential as you drive platform readiness and continuous improvement.

Qualifications

• Bachelor’s degree or 5+ years of financial services experience, preferably in Trading; 3+ years of client service, trading operations, or fintech support experience.

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.

Skills

Leadership

Coaching

Communication

Analytical

Team management

Regulatory awareness

Stakeholder management

Education

Bachelor’s degree

Tools

Jira

Beta

Thomson ONE

Microsoft Dynamics

ClientWorks

CWR

ModelHub

Job description

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.

Pay Range and Benefits

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.

Information on Interviews

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 LPL Financial is the nation’s largest independent broker-dealer.*

Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone.

LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities.

Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact.

To learn more about our organization visit our About LPL page.

* As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

EOE.