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:
Prolonged periods sitting at a desk and working on a computer
Able to lift up to 25lbs
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.
Skills Required
- 7+ years of trading or investment operations experience at an RIA, broker-dealer, or wealth management firm
- Demonstrated team leadership and RIA custodial management experience
- Bachelor's degree with concentration in Finance, Accounting, or Economics
- Deep knowledge of equity and fixed income trade execution
- Experience with Salesforce or similar CRM/case management systems in an operational trading context
- Series 65 required within 90 days of hire
- Exceptional attention to detail and track record of improving processes to prevent trade errors
- Familiarity with UMA/SMA program management and model-based rebalancing
- CFA designation
- Experience with OMS/EMS platforms; Eclipse and/or Red Black experience
- Willingness to be based in or relocate to Louisville, KY
Cerity Partners Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Cerity Partners and has not been reviewed or approved by Cerity Partners.
-
Retirement Support — An employer 401(k) match is part of the package, supporting long-term savings. Feedback suggests retirement benefits are a consistent component across materials.
-
Leave & Time Off Breadth — Flexible PTO, paid holidays, and paid parental leave are explicitly included, enabling time away when needed. Feedback suggests time-off policies are viewed as a strong element of the offering.
-
Wellbeing & Lifestyle Benefits — Hybrid work, commuter benefits, employee assistance resources, and optional spending accounts broaden the total rewards beyond base pay. Feedback suggests these perks contribute to perceived overall balance.
Cerity Partners Insights
What We Do
Our mission is to positively impact the financial well-being of our clients by delivering objective financial advice. We serve high-net-worth individuals and their families, businesses and their employees, and nonprofit organizations. Our advice, comprehensive oversight and fiduciary duties extend well beyond investments. We bring together all the experts necessary to address the various facets of a client’s financial life, including attorneys, tax advisors, financial planners and investment professionals. This approach to advice and service along with our private partnership business model have made us one of the premier investment advisers in the country, and a desired home for talented and passionate financial advisors who seek to serve clients the proper way. https://ceritypartners.com/award-disclosures Cerity Partners LLC reserves the right, to the extent permitted under applicable law, to retain and,monitor all electronic communications. Cerity Partners LLC is not responsible for content posted by third-parties, and does not accept any endorsement, recommendation, or like statement made by third-parties. Third-party content shared, liked, or commented on by Cerity Partners LLC should not be construed as a recommendation of any kind, and is deemed reliable but not guaranteed as to its value, accuracy, or suitability with respect to any person. Statements and messages are subject to the following terms: https://ceritypartners.com/terms-and-conditions/.
