Trading Manager: Lead, Grow, and Elevate Operations

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

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial is seeking a Trading Manager to supervise and develop staff responsible for advisor support, model management, rebalancing, and block trading. You will drive performance, ensure regulatory compliance, and partner with Tech, Product, and Operations to deliver reliable trading operations.

You will guide onboarding, coaching, and risk management while balancing competing priorities in a fast-paced environment. A strong leadership background and Series 7/24 are required.

Qualifications

• Bachelor’s degree 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 escalate critical issues with sound judgment.
• Ability to build sustainable relationships with employees, internal departments, and external 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.

Skills

Written and verbal communication

Problem-solving

Analytical skills

Leadership experience

Ability to manage priorities

Team collaboration

Education

Bachelor’s degree or 5+ years financial services

Tools

Jira

Agile project management

QA/UAT testing

Model management tooling

Trading platforms familiarity

Job description

LPL Financial is seeking a Trading Manager to supervise and develop staff responsible for advisor support, model management, rebalancing, and block trading. You will drive performance, ensure regulatory compliance, and partner with Tech, Product, and Operations to deliver reliable trading operations.

You will guide onboarding, coaching, and risk management while balancing competing priorities in a fast-paced environment. A strong leadership background and Series 7/24 are required.