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 leader drives a high-performance, service-first environment — minimizing trade errors, maximizing responsiveness to advisor practices, and continuously improving the workflows and tools that underpin our investment operations. The role is based in Louisville, KY office.
Primary Responsibilities:
As Head of Wealth Management Trading, you will lead the central trading team and:
Manage and lead the firm’s dedicated 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
Lead Trading:
Serve 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
Growing & Expanding Capabilities:
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
Migrating Accounts in Trading Models:
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 Metrics
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
Strategy Responsibilities
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, including 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
Ideal Candidate Profile — “Our Casting Call!”
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 required with concentration 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; 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 Louisville, KY.
Physical Requirements:
Why Cerity Partners :
Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
Health, dental, and vision insurance – day 1!
401(k) savings and investment plan options with 4% match
Flexible PTO policy
Parental Leave
Financial assistance for advanced education and professional designations
Opportunity to give back time to local communities
Commuter benefits
Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national origin, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law.
Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reach out to [email protected]. Applicants must be authorized to work for any employer in the U.S.
