Head of Wealth Management Trading

Head of Wealth Management Trading

The Head of Wealth Management Trading leads Cerity Partners’ dedicated central trading program, serving as the primary point of accountability for trade execution quality, operational excellence, and team culture. This role is based in the Louisville, KY office.

• Manage and lead the central trading program, setting standards for execution quality, team accountability, and a service‑first culture.
• Oversee trade execution, rebalancing, and reconciliation across participating wealth management portfolios.
• Partner with the Investment Office and Platform team on model implementation, strategy launches, UMA/SMA transitions, and portfolio construction initiatives.
• Lead development and adoption of AI‑powered tools and reconciliation workflows to improve oversight across trading and advisor practice operations.
• Partner with Compliance on best execution policies, broker review, and trade error remediation.
• Manage and evolve the Salesforce trade case system as the primary communication channel between the trading team and advisor practices.
• Act as the primary trading lead and escalation point for complex or time‑sensitive executions, ensuring the team operates with speed, precision, and consistency across all custodial platforms.
• Develop and enforce trading protocols, desk procedures, and quality control standards that support a scalable, institutional‑grade trading operation.
• Identify and champion opportunities to expand the trading program’s scope – including onboarding additional advisor practices, adding asset classes, and broadening custodial relationships.
• Evaluate and implement new trading technologies, OMS/EMS enhancements, and vendor solutions to scale capabilities as the firm grows.
• Collaborate with senior leadership to build a long‑term roadmap for the central trading function, aligning trading infrastructure with firm‑wide growth objectives.
• Oversee the migration of client accounts into centralized trading models, coordinating with advisor teams, the Investment Office, and custodians to ensure seamless transitions with minimal disruption.
• Establish and refine workflows for UMA/SMA account onboarding, model enrollment, and legacy account conversion in partnership with the platform and operations teams.
• Define, track, and report on key trading performance metrics, including trade error rates, execution quality, rebalancing turnaround times, and advisor practice satisfaction.
• Build and maintain operational dashboards that provide leadership with real‑time visibility into trading desk performance and trends.
• Use data‑driven insights to identify process gaps, benchmark against industry best practices, and drive continuous improvement initiatives.

• Partner with the Investment Office to operationalize new investment strategies, ensuring the trading desk can effectively implement and maintain portfolio models at scale.
• Contribute to firm‑wide strategic planning for investment operations, evaluating build vs. buy decisions for trading tools, platforms, and workflows.
• Act as a key stakeholder in the firm’s digital transformation efforts, providing trading desk perspective on technology roadmap priorities.

• 7+ years of trading or investment operations experience at an RIA, broker‑dealer, or wealth‑management firm; demonstrated team leadership and RIA custodial management required.
• Bachelor’s degree in Finance, Accounting, or Economics; CFA designation preferred.
• Deep knowledge of equity and fixed‑income trade execution, OMS/EMS platforms with Eclipse and/or Red Black experience preferred.
• Experience with Salesforce or similar CRM/case‑management systems in an operational trading context.
• Series 65 required within 90 days of hire; familiarity with UMA/SMA program management and model‑based rebalancing a plus.
• Exceptional attention to detail and track record of proactively improving processes to prevent trade errors and operational failures.
• Service‑oriented leader with clear, professional communication skills and the ability to build trusted relationships with advisor practices.
• Must be based in or willing to relocate to…