Senior AVP, Trading Operations & Platform Leadership

lplfinancial; United States; On-site; USD 130,000 - 170,000; 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 on the West Coast schedule.

The AVP will execute trades, oversee rebalancing, model management, onboarding, testing, and training while balancing leadership, risk management, and day-to-day operations in a collaborative, client‑focused environment. This role requires strong communication and strategic thinking in a fast-paced, regulated setting.

Qualifications

• Bachelor's degree in Finance, Business Administration, Economics, or related field, or equivalent experience.
• 5+ years in financial services, including at least three years in trading operations, investment operations, or financial technology support.
• 5+ years executing trades in a broker-dealer or related environment.

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, advisor support, model management, platform testing, onboarding, and production support.
• Manage competing priorities to ensure timely completion of trading and operational duties.
• Serve as escalation point for complex trade requests, errors, and system issues with compliant resolutions.
• Monitor activity and capacity to identify risks and improvement opportunities.
• Identify risks and strengthen policies, processes, and controls for accuracy and risk management.
• Partner with Technology, Product, Compliance, Risk, Legal, and Operations on enhancements and risk management.
• Support advisor onboarding, education, platform demos, and adoption of trading capabilities.
• Lead process improvements and strategic initiatives to increase efficiency and scalability.

Skills

Leadership

Trading operations

Team coaching

Risk management

Platform testing

Cross-functional collaboration

Education

Bachelor's degree in Finance/Business/Economics or related field

Tools

Microsoft Office

ClientWorks

Beta

Thomson ONE

Job description

LPL Financial is seeking an Assistant Vice President, Trading to lead a team delivering trading and platform support to financial advisors on the West Coast schedule.

The AVP will execute trades, oversee rebalancing, model management, onboarding, testing, and training while balancing leadership, risk management, and day-to-day operations in a collaborative, client‑focused environment. This role requires strong communication and strategic thinking in a fast-paced, regulated setting.