Job Description
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.
Key Responsibilities
Leadership & Team Development
- 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.
Trading & Operational Execution
- 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.
Operational Excellence & Risk Management
- 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.
Continuous Improvement & Business Support
- 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.
Stakeholder Partnership
- 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 workgroups, and cross-functional initiatives.
Required Qualifications
- 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.
Preferred Qualifications
- 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, BondDesk, Brokerage Mainframe, SSRS/SharePoint, and Microsoft Access.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
In-OfficeCollaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing,productivityand personal connection, wedeliver forour stakeholders
clients, advisors,employeesand shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may requireadditionalin-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay Salary
The estimated base salary for this role is $ 80,200-$ 98,100/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full time
Exempt
Business Support & Operations
CLEAR Clearing
