Trading Services Manager

Date: May 24, 2023

Primary Location: Philadelphia, PA, US

Company: Lincoln Financial

Alternate Locations: Philadelphia, PA (Pennsylvania); Fort Wayne, IN (Indiana)


Work Arrangement:

Hybrid/Flexible : Work at home and use the office as appropriate for in-person collaboration.


Relocation assistance:  is not available for this opportunity.


Requisition #: 71619


The Role at a Glance

The Manager, Trading Services will provide leadership and direction to ensure group results for the Broker Dealer/Securities operations responsibility. S/he will be responsible for a group of Trading Services associates working out of various locations.  The responsibilities of the associates vary from both on (call center) and off phone responsibilities taking calls from Financial Professionals, end clients, and other internal/external partners while processing various types of work that flow through Trading Services inboxes and other work flow channels.  S/he will direct the coordination and collaboration of business stakeholders and assigned teams to initiate and complete more complex securities clearance, reviews, and approvals of client investment transactions.

What you'll be doing

  • Supervises a team of traders who execute trades in stocks, mutual funds, UITs, and options
  • Ensures the broker-dealer is compliance with FINRA and SEC rules and regulations
  • Maintains a broad knowledge base of the securities industry including regulatory and market events, investment products, operational processes, operational methodologies and technology
  • Develops a strong understanding of customer service and provides assistance to both registered representatives, investment advisors and retail clients related to LFN trading policies, products and procedures
  • Recommends risk management procedures and has the ability to quickly assess and take action to minimize customer and firm risk
  • Reviews trades to ensure trade execution quality
  • Investigates, researches, and corrects issues related to trading and account activity
  • In-depth knowledge of securities products with emphasis on mutual funds, stocks, UITs, ETFs
  • Knowledge of FINRA and SEC regulatory requirements related to broker-dealer trade operations
  • Ability to proactively make recommendations to Senior Management regarding operational changes needed to meet the ever changing regulatory environment
  • Directs the collaboration of key internal and/or external stakeholders to produce securities clearance, review and approval of more complex client investment transactions.
  • Serves as a subject matter expert between area of responsibility and appropriate stakeholders to review and approve more complex client applications.
  • Ensures team(s) follow and keep apprised of new/changed regulatory requirements.

What we’re looking for

Must haves

  • Undergraduate degree or 4+ years work experience that directly aligns with the specific responsibilities for this position
  • 7+ of experience years Broker Dealer/Securities Operations that directly aligns with the specific responsibilities for this position, including 3+ years of managerial, supervisory, and/or demonstrated leadership experience
  • FINRA Series 7, 24, and 63 

Nice to haves

  • FINRA Series 53, 4


What’s it like to work here?

At Lincoln Financial Group, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future.


What’s in it for YOU:

  • A clearly defined career framework to help you successfully manage your career

  • Leadership development and virtual training opportunities

  • PTO/parental leave

  • Competitive 401K and employee benefits

  • Free financial counseling, health coaching and employee assistance program

  • Tuition assistance program

  • A leadership team that prioritizes your health and well-being; offering a remote work environment and flexible work hybrid situations

  • Effective productivity/technology tools and training


Pay Range: $65,700 - $118,300 


Actual base pay could vary based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees.  In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual.  Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.


About The Company

Lincoln Financial Group, a Fortune 200 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas — Life Insurance, Annuities, Retirement Plan Services and Group Protection — focus on supporting, preserving and enhancing over 17 million customer’s lifestyles and retirement outcomes.

Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $324 billion in end-of-period account values as of June 30, 2021.

Ranked one of the Best Large Employers in America and Best Employers for Women by Forbes magazine as well as one of Newsweek’s Most Responsible Companies, Lincoln Financial Group makes a serious investment in our employees’ futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.


Lincoln is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. 


Lincoln Financial Group is a committed corporate citizen included on major sustainability indices including the Dow Jones Sustainability Index North America and FTSE4Good. Dedicated to diversity and inclusion, we earned perfect 100 percent scores on the Corporate Equality Index and the Disability Equality Index. Follow us on Facebook, Twitter, LinkedIn, and Instagram. Sign up for email alerts at


Be Aware of Fraudulent Recruiting Activities

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview.  Please contact Lincoln's fraud team at if you encounter a recruiter or see a job opportunity that seems suspicious.


Additional Information

This position may be subject to Lincoln’s Political Contribution Policy.  An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.


Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.


Lincoln Financial Group (“LFG”) is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, Veteran status, or genetic information.  Applicants are evaluated on the basis of job qualifications.  If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling 260-455-2558.


This Employer Participates in E-Verify. See the E-Verify notices.

Este Empleador Participa en E-Verify. Ver el E-Verify avisos. 

Nearest Major Market: Philadelphia

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