LPL Financial
Mutual Fund Trader - Series 7 & 63
LPL Financial, San Diego, California, United States, 92189
What if you could
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview The Mutual Fund Trader will provide a high level of subject matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions. The primary focus of the trader is to deliver an extraordinary service experience and provide operational trading support to our financial advisors, staff, and their clients in an inbound call center environment. This role will also provide backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. The role requires individuals seeking a collaborative, fast‑paced environment, are client‑focused, and are able to execute in a way that encourages creativity and continuous improvement. Being flexible and adaptable to competing priorities will be key success factors for this position.
Responsibilities
Supporting Advisors, clients, and internal business partners with trading inquiries which may include order placement, research, corrections, and systems troubleshooting involving trading products.
Assisting internal employees through knowledge sharing, escalation support, and ensuring problem resolutions are reached.
Participation in weekly team huddles and bi‑monthly staff meetings to build mutual trust, respect, and cooperation among team members.
Building and leveraging relationships with internal LPL departments, 3rd party vendors, transfer agents, and sponsors to assist with escalations, improve processing pain points, mitigate risk to the firm, and safeguard against trading compliance violations. Acting as liaison for Financial Advisors who may raise inquiries regarding mutual fund/UIT prospectus or assistance with navigating LPL’s trading platform and resources.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps. When applicable, determine if a Technology incident should be raised for further investigation.
Taking consultative approaches to identify opportunities that increase operational efficiency and improve the Advisor/client experience. Coordinating with internal teams, mutual fund sponsors, and transfer agents for trade related issues/pain points and action said provisions to improve processes.
Work to ensure a positive outcome for Advisors/clients while also minimizing the possibility of a reoccurring negative experience.
Work through complex situations to understand the root cause of problems and determine economical solutions.
What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast‑paced, team‑oriented environments. Our ideal candidates
pursue greatness ,
act with integrity , and are
driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together
and
create and share joy
in our work.
Requirements
3+ years of financial services, preferably in Trading
Series 7 and 63 required
Registration in all US States & Territories is required upon hire
Core Competencies
Proficiency in standard computer knowledge (including software skills) and must be able to follow audible troubleshooting instructions if/when necessary
Strong MS Office skills required.
Attention to detail
Ability to work with other departments
Strong analytical and communication skills
Ability to work independently and within a group setting
Ability to handle fast paced and deadline driven environment
Preferences
Knowledge of Mutual Fund, UIT and Precious Metals markets
Knowledge of trading regulations and requirements
General knowledge of Equities and Bond markets
Beta, Morningstar, Siebel, ClientWorks experience preferred
Series 24 preferred, but not required
VBA macros knowledge
Pay Range $28.85-$48.08/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor‑mediated marketplace. LPL supports over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker‑dealer, we offer an integrated platform of cutting‑edge technology, brokerage, and investment advisor services.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews LPL will only communicate with a job applicant directly from an @lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at(855) 575-6947.
EAC1.22.25
#J-18808-Ljbffr
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
Job Overview The Mutual Fund Trader will provide a high level of subject matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions. The primary focus of the trader is to deliver an extraordinary service experience and provide operational trading support to our financial advisors, staff, and their clients in an inbound call center environment. This role will also provide backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. The role requires individuals seeking a collaborative, fast‑paced environment, are client‑focused, and are able to execute in a way that encourages creativity and continuous improvement. Being flexible and adaptable to competing priorities will be key success factors for this position.
Responsibilities
Supporting Advisors, clients, and internal business partners with trading inquiries which may include order placement, research, corrections, and systems troubleshooting involving trading products.
Assisting internal employees through knowledge sharing, escalation support, and ensuring problem resolutions are reached.
Participation in weekly team huddles and bi‑monthly staff meetings to build mutual trust, respect, and cooperation among team members.
Building and leveraging relationships with internal LPL departments, 3rd party vendors, transfer agents, and sponsors to assist with escalations, improve processing pain points, mitigate risk to the firm, and safeguard against trading compliance violations. Acting as liaison for Financial Advisors who may raise inquiries regarding mutual fund/UIT prospectus or assistance with navigating LPL’s trading platform and resources.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps. When applicable, determine if a Technology incident should be raised for further investigation.
Taking consultative approaches to identify opportunities that increase operational efficiency and improve the Advisor/client experience. Coordinating with internal teams, mutual fund sponsors, and transfer agents for trade related issues/pain points and action said provisions to improve processes.
Work to ensure a positive outcome for Advisors/clients while also minimizing the possibility of a reoccurring negative experience.
Work through complex situations to understand the root cause of problems and determine economical solutions.
What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast‑paced, team‑oriented environments. Our ideal candidates
pursue greatness ,
act with integrity , and are
driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together
and
create and share joy
in our work.
Requirements
3+ years of financial services, preferably in Trading
Series 7 and 63 required
Registration in all US States & Territories is required upon hire
Core Competencies
Proficiency in standard computer knowledge (including software skills) and must be able to follow audible troubleshooting instructions if/when necessary
Strong MS Office skills required.
Attention to detail
Ability to work with other departments
Strong analytical and communication skills
Ability to work independently and within a group setting
Ability to handle fast paced and deadline driven environment
Preferences
Knowledge of Mutual Fund, UIT and Precious Metals markets
Knowledge of trading regulations and requirements
General knowledge of Equities and Bond markets
Beta, Morningstar, Siebel, ClientWorks experience preferred
Series 24 preferred, but not required
VBA macros knowledge
Pay Range $28.85-$48.08/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor‑mediated marketplace. LPL supports over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker‑dealer, we offer an integrated platform of cutting‑edge technology, brokerage, and investment advisor services.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews LPL will only communicate with a job applicant directly from an @lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at(855) 575-6947.
EAC1.22.25
#J-18808-Ljbffr