Trading Operations Lead | Rebalancing & Platform Excellence

LPL Financial; Tempe (AZ); On-site; USD 80,000 - 133,000; Full time

Job summary

The Trading Manager at LPL Financial supervises and supports trading staff responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities.

This role requires strong business judgment, knowledge of daily trading operations, and the ability to build a collaborative, high-performing team while guiding employees and coordinating with Technology and Product teams.

Qualifications

• Bachelor’s degree in a related field 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 exercise sound judgment when escalating critical issues.
• 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

Leadership

Coaching

Communication

Risk management

Strategic thinking

Cross-functional collaboration

Project management

Client service

Education

Bachelor’s degree

Series 7

Series 24

Tools

Jira

QA/UAT testing

Microsoft Office

Thomson ONE

ModelHub

Job description

The Trading Manager at LPL Financial supervises and supports trading staff responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities.

This role requires strong business judgment, knowledge of daily trading operations, and the ability to build a collaborative, high-performing team while guiding employees and coordinating with Technology and Product teams.