Team Lead-Advisory Trading

Team Lead, Advisory Trading

The Team Lead will provide daily leadership and oversight of advisory trading workflows, ensuring the accurate and timely execution of trading activity. This role manages a small team, including work prioritization, coaching, and performance feedback, while continuing to perform complex trading functions, support escalations, and drive process improvement initiatives. The ideal candidate is highly organized, detail-oriented, and capable of effectively managing multiple priorities in a fast-paced environment.

• Provide day-to-day leadership, coaching, and guidance to a team of Advisory Trading associates.
• Serve as the first point of escalation for complex trading inquiries, operational issues, and exception management.
• Assist with onboarding, training, and development of team members.
• Foster a collaborative, high-performing culture focused on client service, accuracy, accountability, and continuous improvement.
• Support performance management activities by providing ongoing feedback, coaching, and development recommendations.

• Independently execute and oversee advisory trading activities, including model implementation, portfolio rebalancing, cash management, and account-level transactions.
• Maintain an individual workload while supporting team production during volume spikes, market events, and other critical business activities.
• Review and resolve complex trading exceptions and operational challenges.
• Ensure trades are executed accurately, timely, and in accordance with client needs, investment objectives, and established procedures.

• Monitor daily workflow volumes, service levels, and key performance metrics.
• Identify, escalate, and mitigate operational, trading, and regulatory risks.
• Ensure compliance with firm policies, supervisory procedures, and regulatory requirements.
• Participate in audits, control reviews, and risk assessments as needed.

• Identify opportunities to enhance trading processes, workflow efficiency, and team effectiveness.
• Lead operational improvement initiatives and support larger enterprise projects impacting advisory trading.
• Collaborate with technology and business partners to implement process enhancements and automation opportunities.
• Contribute to the development and maintenance of procedures, training materials, and job aids.

• Build and maintain strong relationships with cross-functional partners across Operations, Compliance, Technology, Service, and Advisory business teams.
• Communicate effectively regarding trading activity, service issues, operational risks, and business priorities.
• Represent Advisory Trading in business meetings, project work groups, and cross-functional initiatives.

• Bachelor's degree or equivalent combination of education and experience.
• 3–5 years of experience in advisory trading, portfolio operations, wealth management, investment operations, or a related financial services function.
• Demonstrated expertise in advisory trading processes, managed accounts, portfolio rebalancing, and investment operations.
• Proven ability to lead through influence while maintaining significant individual contributor responsibilities.
• Strong understanding of financial markets, investment products, trading operations, and risk controls.
• Excellent analytical, problem-solving, and decision-making skills.
• Strong verbal and written communication skills.
• Exceptional attention to detail and commitment to accuracy.
• Highly organized, with the ability to manage multiple priorities, balance competing deadlines, and effectively oversee both individual and team responsibilities in a fast-paced environment.

• FINRA Series 7 license.
• Experience with advisory trading and portfolio management platforms.
• Lean, Six Sigma, Agile, or other continuous improvement experience.
• Advanced reporting, data analysis, and process automation skills.
• Experience entering orders for Stocks, Exchange-Traded Funds (ETFs), Mutual Funds, Fixed Income Securities, and Options.
• Experience with the following systems: APL, BETA, Bond Desk, Brokerage Mainframe, SSRS/SharePoint, and Microsoft Access.

Applicants must have a valid work authorization that…