Senior Trading Consultant

LPL Financial LLC; Fort Mill, Charlotte (SC, NC); On-site; USD 76,000 - 127,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking a Senior Consultant for the Rebalancing and Model Management Trading Support Desk to provide advanced trading and system support to financial advisors while guiding key initiatives.

You will serve as a subject matter expert across trading platforms, and help lead testing, training, onboarding, and process improvements. Join a collaborative team that partners with Technology and Product to deliver reliable solutions and educate advisors on best practices,

Qualifications

• 5+ years in financial services.
• Experience supporting trading, rebalancing, model management or related fintech.
• Experience supporting trading, rebalancing, CRM, or financial platforms.
• Series 7 required; Series 24 preferred.
• Strong written and verbal communication skills.

Responsibilities

• Provide advanced system support and guidance on model management and rebalancing.
• Serve as escalation point for complex advisor, trading, and system issues.
• Know trading instruments and their market dynamics.
• Educate advisors on system capabilities to meet objectives.
• Support inbound advisor contacts and assist with workload coverage.
• Onboard, train, and mentor Trading Consultants and team members.
• Lead demonstrations, workshops, and onboarding activities.
• Collaborate with Technology and Product on requirements, testing, and releases.
• Identify platform risks and opportunities to improve processes.

Skills

Team collaboration

Communication

Problem solving

Financial markets knowledge

Mentoring/training

Project management

Education

Series 7 license

Series 24 preferred

Tools

Jira

Agile project management

QA/UAT testing

Microsoft Office

Beta

Thomson ONE

Microsoft Dynamics

ClientWorks

CWR

ModelHub

Job description

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

Joining our team as a Senior Consultant on the Rebalancing and Model Management Trading Support Desk will allow you to provide advanced trading and system support to financial advisors while helping lead key initiatives across the team. Our trading team’s main priority is to create a reliable support system for our clients so they can easily grow their practice. This role will serve as a subject matter expert across our trading platforms, provide support for complex advisor and system issues, and help lead testing, training, onboarding, and process improvement efforts. Being flexible and adaptable to competing priorities will be key success factors for this position.

Responsibilities

• Provides advanced system support and guidance to advisors regarding model management, rebalancing functionality, block trading tools, and related trading workflows.
• Serves as an escalation point for complex advisor, trading, and system-related issues.
• Maintains a strong working knowledge of equities, options, ETFs, mutual funds, the markets, and the market impact and execution complexities of large trades.
• Maintains advanced knowledge of trading system capabilities and rebalancing methodologies.
• Educates and consults advisors on the best way to use system capabilities to achieve their desired objectives.
• Supports inbound advisor contacts and assists with call and workload coverage as needed.
• Helps onboard, train, and mentor Trading Consultants and other team members.
• Leads or supports advisor-facings demonstrations, educational workshops, and onboarding activities.
• Partners with Technology and Product teams on requirements, issue analysis, UAT, production validation, and release readiness.
• Helps identify platform issues, operational risks, and opportunities to improve system functionality or team processes.
• Leads assigned projects or workstreams and provides clear updates on progress, risks, and dependencies.
• Supports LPL’s Volume Contingency Plan by training and supporting other Trading teams as needed.
• Works closely with Business Transition Partners and other internal partners to showcase capabilities to prospective advisors and support onboarding after affiliation.
• Supports leadership with complex escalations, team priorities, and operational needs.
• 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.

Requirements

• 5+ years of financial services experience
• 2+ years of experience supporting trading, rebalancing, model management, or related financial technology
• Experience supporting trading, rebalancing, model management, CRM, or financial services platforms
• Series 7 required
• Knowledge of trading regulations and requirements
• Demonstrated experience resolving complex client, trading, or system issues
• Written and verbal communication skills

Core Competencies

• Knowledge of mutual funds, equities, ETFs, and options
• Knowledge of model management and rebalancing methodologies
• Analytical, technical, and problem-solving skills
• Ability to manage competing priorities and work independently
• Ability to coach, mentor, and share knowledge with others
• Ability to identify risk and escalating issues appropriately
• Cvice and collaboration skills

Preferences

• Series 24 preferred
• Experience with Jira, agile project management, and QA/UAT testing
• Experience leading projects, workstreams, training, or onboarding efforts
• Public speaking, coaching, and talent development experience
• Microsoft Office skills
• Experience with Beta, Thomson ONE, Microsoft Dynamics, ClientWorks, CWR, or ModelHub preferred

Pay Range

$76,220.00 - $126,999.00 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.

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. Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility

EOE.

Principals only.