Team Lead-Advisory Trading

Ameriprise Financial Services; Charlotte (NC); Hybrid; USD 90,000 - 130,000; Full time

Job summary

Ameriprise Financial in Charlotte, NC seeks a Team Lead to oversee advisory trading workflows, ensuring accurate, timely execution while coaching a small team. You will manage onboarding, performance feedback, and escalate complex inquiries in a fast-paced environment.

The role requires 3–5 years in advisory trading or wealth operations, strong risk controls, and a client-focused mindset. Flexible in-office schedule with four days onsite and one day remote.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• 3–5 years of experience in advisory trading, portfolio operations, wealth management, investment operations, or a related financial services function.
• Demonstrated expertise in advisory trading processes, managed accounts, portfolio rebalancing, and investment operations.
• Proven ability to lead through influence while maintaining significant individual contributor responsibilities.
• Strong understanding of financial markets, investment products, trading operations, and risk controls.
• Excellent analytical, problem-solving, and decision-making skills.
• Strong verbal and written communication skills.
• Exceptional attention to detail and commitment to accuracy.
• Highly organized, with the ability to manage multiple priorities, balance competing deadlines, and effectively oversee both individual and team responsibilities in a fast-paced environment.

Responsibilities

• Provide day-to-day leadership, coaching, and guidance to a team of Advisory Trading associates.
• Oversee advisory trading activities, including model implementation and portfolio rebalancing.
• Monitor workflow volumes, service levels, and key performance metrics; identify and mitigate risks.
• Lead operational improvement initiatives and support larger enterprise projects affecting advisory trading.
• Collaborate with technology and business partners to implement process enhancements and automation opportunities.

Skills

Team leadership

Trading operations

Process improvement

Regulatory compliance

Analytical skills

Education

Bachelor's degree

Tools

APL

BETA

BondDesk

Brokerage Mainframe

SSRS/SharePoint

Microsoft Access

Job description

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.

Job Description

The Team Lead will provide daily leadership and oversight of advisory trading workflows, ensuring the accurate and timely execution of trading activity. This role manages a small team, including work prioritization, coaching, and performance feedback, while continuing to perform complex trading functions, support escalations, and drive process improvement initiatives. The ideal candidate is highly organized, detail-oriented, and capable of effectively managing multiple priorities in a fast-paced environment.

Key Responsibilities

Leadership & Team Development

• Provide day-to-day leadership, coaching, and guidance to a team of Advisory Trading associates.
• Serve as the first point of escalation for complex trading inquiries, operational issues, and exception management.
• Assist with onboarding, training, and development of team members.
• Foster a collaborative, high-performing culture focused on client service, accuracy, accountability, and continuous improvement.
• Support performance management activities by providing ongoing feedback, coaching, and development recommendations.

Trading & Operational Execution

• Independently execute and oversee advisory trading activities, including model implementation, portfolio rebalancing, cash management, and account-level transactions.
• Maintain an individual workload while supporting team production during volume spikes, market events, and other critical business activities.
• Review and resolve complex trading exceptions and operational challenges.
• Ensure trades are executed accurately, timely, and in accordance with client needs, investment objectives, and established procedures.

Operational Excellence & Risk Management

• Monitor daily workflow volumes, service levels, and key performance metrics.
• Identify, upscale, and mitigate operational, trading, and regulatory risks.
• Ensure compliance with firm policies, supervisory procedures, and regulatory requirements.
• Participate in audits, control reviews, and risk assessments as needed.

Continuous Improvement & Business Support

• Identify opportunities to enhance trading processes, workflow efficiency, and team effectiveness.
• Lead operational improvement initiatives and support larger enterprise projects impacting advisory trading.
• Collaborate with technology and business partners to implement process enhancements and automation opportunities.
• Contribute to the development and maintenance of procedures, training materials, and job aids.

Stakeholder Partnership

• Build and maintain strong relationships with cross-functional partners across Operations, Compliance, Technology, Service, and Advisory business teams.
• Communicate effectively regarding trading activity, service issues, operational risks, and business priorities.
• Represent Advisory Trading in business meetings, project workgroups, and cross-functional initiatives.

Required Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• 3–5 years of experience in advisory trading, portfolio operations, wealth management, investment operations, or a related financial services function.
• Demonstrated expertise in advisory trading processes, managed accounts, portfolio rebalancing, and investment operations.
• Proven ability to lead through influence while maintaining significant individual contributor responsibilities.
• Strong understanding of financial markets, investment products, trading operations, and risk controls.
• Excellent analytical, problem-solving, and decision-making skills.
• Strong verbal and written communication skills.
• Exceptional attention to detail and commitment to accuracy.
• Highly organized, with the ability to manage multiple priorities, balance competing deadlines, and effectively oversee both individual and team responsibilities in a fast-paced environment.

Preferred Qualifications

• FINRA Series 7 license.
• Experience with advisory trading and portfolio management platforms.
• Lean, Six Sigma, Agile, or other continuous improvement experience.
• Advanced reporting, data analysis, and process automation skills.
• Experience entering orders for Stocks, Exchange-Traded Funds (ETFs), Mutual Funds, Fixed Income Securities, and Options.
• Experience with the following systems: APL, BETA, BondDesk, Brokerage Mainframe, SSRS/SharePoint, and Microsoft Access.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Full-Time/Part-Time

Full time

Exempt/Non-Exempt

Exempt

Job Family Group

Business Support & Operations

Line of Business

CLEAR Clearing

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.