Trading Operations Manager: Lead & Develop Team

LPL Financial; Charlotte (NC); On-site; USD 80,000 - 133,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Trading Manager to lead a team responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities. The Manager will guide daily trading operations, demonstrate strong business judgment, and build collaborative relationships across the organization.

The role requires leadership experience, Series 7 and 24, and a deep understanding of trading regulations.

Qualifications

• Bachelor’s degree or 5+ years in financial services, preferably in Trading.
• 3+ years of client service, trading operations, or financial technology support.
• Leadership, team lead, or people management experience.
• Series 7 and Series 24 required.
• Registration in all required U.S. states and territories upon hire.
• Knowledge of trading regulations and requirements.

Responsibilities

• Leads and supports trading staff responsible for advisor support, model management, rebalancing, and block trading.
• Coaches staff with regular feedback, career planning, and cross-training.
• Holds meetings with direct reports; provides performance feedback and sets expectations.
• Delegates responsibilities to strengthen communication, leadership, and analytical skills.
• Oversees daily workflows to meet service expectations and complete processes.
• Manages team capacity and priorities across advisor support, platform testing, onboarding, and project work.
• Develops and maintains relationships with internal and external partners.
• Coordinates onboarding and training of team members; communicates system/process changes.
• Supports advisor onboarding and post-conversion readiness and issue management.
• Recognizes risk and escalates issues to senior leadership as needed.
• Drives process improvement and effective use of team resources.
• Reviews controls to identify risk and ensure proper controls.
• Partners with Technology and Product on system issues and platform readiness.
• Leads or oversees UAT and business validation for technology releases.
• Supports senior leadership with complex escalations.

Skills

Leadership

Coaching

Communication

Analytical skills

Risk assessment

Strategic thinking

Education

Bachelor’s degree in related field

Tools

Jira

QA/UAT testing

Agile project management

CRM tools

ModelHub

Job description

LPL Financial is seeking a Trading Manager to lead a team responsible for advisor support, model management, rebalancing, block trading, testing, training, and onboarding activities. The Manager will guide daily trading operations, demonstrate strong business judgment, and build collaborative relationships across the organization.

The role requires leadership experience, Series 7 and 24, and a deep understanding of trading regulations.