Manager, Trading

LPL Financial; Tempe (AZ); On-site; USD 79,000 - 133,000; Full time

Job summary

LPL Financial is seeking a Mutual Fund Trading Manager to supervise frontline trading support for Mutual Funds, UITs, and Precious Metals products. The role requires strong operational knowledge and leadership in a fast-paced environment.

You will guide staff development, ensure trade workflows meet service levels, and support senior leadership on complex matters while maintaining strict regulatory compliance and risk awareness.

Qualifications

• Bachelor’s degree or related field and 5+ years of financial services experience, preferably in Trading.
• 3+ years of Customer Service experience and ability to demonstrate operational excellence.
• Series 7, 63 (or 66), and 24 are a REQUIREMENT; Registration in all US States & Territories is required upon hire.

Responsibilities

• Supervise and support trading staff providing frontline trading support for Mutual Fund, UIT, and Precious Metals products.
• Develop talent, career pathing, and cross-training with interdepartmental trading teams.
• Direct daily workflows to maintain service level averages and complete end-of-day processes; address escalations timely.
• Drive operational excellence and process improvements; support senior leadership with complex issues.

Skills

Communication skills

Problem-solving

Analytical mindset

Multitasking

Self-starter

Empathy

Education

Bachelor’s degree

Tools

Excel

VBA macros

Microsoft Office

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 Mutual Fund Trading Manager supervises and supports trading staff responsible for providing frontline trading support to LPL advisors and their clients with Mutual Fund, UIT, and Precious Metals products. Managers are expected to demonstrate a comprehensive business acumen, proficiency of daily operational trading functions, and fluency in department policies, procedures, and regulatory requirements associated with Mutual Funds, UITs, and Precious Metals products.

Responsibilities:

• Please note that Managers are not permitted to provide financial advice or guidance in trade decision making.

• Support staff with their departmental goals including, but not limited to talent development, career pathing, and cross-training with interdepartmental trading teams.

• Supervise and direct daily workflows to ensure Trading’s service level averages are maintained, escalated issues are addressed in a timely manner, and end of day processes are completed.

• Driving Operational excellence and efficiency through continuous process improvements.

• Supporting senior leadership with complex and escalated issues from Advisors, clients, or internal business partners.

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 a related field or 5+ years of financial services experience, preferably in Trading

• 3+ years Customer Service experience and ability to demonstrate operational excellence

• *Series 7, 63 (or 66), and 24 ARE A REQUIREMENT

• Registration in all US States & Territories is required upon hire

Core Competencies:

• Proficiency in standard computer knowledge (including software skills) and must be able to follow audible troubleshooting instructions if/when necessary

• Microsoft Office skills- Intermediate Excel and VBA macros knowledge is preferred

• Written and oral communication skills

• Problem-solving and organizational skills

• Ability to deescalate concerned callers while displaying empathy and care

• Ability to multitask and work independently within a virtual environment

• Analytical mindset and very detail-oriented

• Self-starter with the ability to build sustainable relationships with teammates, internal departments, and external contacts

• Thorough knowledge of LPL and FINRA and/or SEC regulations and requirements as they pertain to trading our specific products

• Ability to identify trends, issues, and anticipate possible risk, and exercise judgement to de-escalate and/or elevate critical incidents when needed.

#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.

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(855) 575-6947.

EAC 5.19.26