Trading Manager

1 week ago


Knoxville, Tennessee, United States LPL Financial Full time
Job Overview:

The Trading Manager is responsible for overseeing and supporting a team of traders who provide frontline trading support to financial advisors and their clients with mutual fund, UIT, and precious metals products. This role requires a comprehensive understanding of business operations, proficiency in daily trading functions, and fluency in department policies, procedures, and regulatory requirements associated with mutual funds, UITs, and precious metals products.

Responsibilities:
  • Supervise and direct daily workflows to ensure trading service levels are maintained, escalated issues are addressed in a timely manner, and end-of-day processes are completed.
  • Support staff with their departmental goals, including talent development, career pathing, and cross-training with interdepartmental trading teams.
  • Drive operational excellence and efficiency through continuous process improvements.
  • Support senior leadership with complex and escalated issues from advisors, clients, or internal business partners.
Requirements:
  • Bachelor's degree in a related field or 5+ years of financial services experience, preferably in trading.
  • 3+ years of customer service experience and ability to demonstrate operational excellence.
  • Series 7, 63 (or 66), and 24 registrations.
  • Registration in all US states and territories is required upon hire.
Core Competencies:
  • Proficiency in standard computer knowledge, including software skills, and ability to follow audible troubleshooting instructions if necessary.
  • Microsoft Office skills, with intermediate Excel and VBA macros knowledge preferred.
  • Strong written and oral communication skills.
  • Strong problem-solving and organizational skills.
  • Ability to de-escalate concerned callers while displaying empathy and care.
  • Ability to multitask and work independently within a virtual environment.
  • Strong analytical mindset and attention to detail.
  • Self-starter with the ability to build sustainable relationships with teammates, internal departments, and external contacts.
  • Thorough knowledge of LPL and FINRA/SEC regulations and requirements as they pertain to trading specific products.
  • Ability to identify trends, issues, and anticipate possible risks, and exercise judgment to de-escalate and/or escalate critical incidents when needed.
Compensation:

The actual base salary varies based on factors, including relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. LPL Financial offers a highly competitive total rewards package, including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.



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