LPL Financial
Mutual Fund Trader - Series 7 & 63
LPL Financial, San Diego, California, United States, 92189
Job Overview
Mutual Fund Trader – Series 7 & 63 at LPL Financial
Provide high‑level subject‑matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions. Deliver an extraordinary service experience and operational trading support to advisors, staff, and clients in an inbound call center environment. Provide backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. Seek a collaborative, fast‑paced environment, client‑focused, flexible, and adaptable.
Responsibilities
Support advisors, clients, and internal partners with trading inquiries: order placement, research, corrections, and systems troubleshooting involving trading products.
Assist internal employees through knowledge sharing and escalation support, ensuring problem resolution.
Participate in weekly team huddles and bi‑monthly staff meetings to build trust and cooperation.
Build and leverage relationships with internal LPL departments, third‑party vendors, transfer agents, and sponsors to address escalations, improve processing pain points, mitigate risk, and safeguard against compliance violations.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps; determine if a technology incident should be raised.
Take consultative approaches to identify opportunities that increase operational efficiency and improve the advisor/client experience; coordinate with internal teams, sponsors, and transfer agents for trade‑related issues and action provisions.
Ensure a positive outcome for advisors/clients while minimizing recurring negative experiences.
Work through complex situations to understand root causes and determine economical solutions.
Requirements
3+ years of financial services, preferably in trading.
Series 7 and 63 required.
Registration in all U.S. states and territories required upon hire.
Core Competencies
Proficiency in standard computer knowledge, including software skills; ability to follow audible troubleshooting instructions.
Strong MS Office skills.
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, 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.
Experience with Beta, Morningstar, Siebel, ClientWorks.
Series 24 preferred.
VBA macros knowledge.
Pay Range $28.85–$48.08 per hour. Base salary varies based on skill, experience, education, performance, and geographic location. LPL Total Rewards includes 401 k matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth‑management firms in the U.S., supporting over 29,000 financial advisors and 1,100 institutions. We provide advisory affiliation models, investment solutions, fintech tools, and practice‑management services to help advisors run thriving businesses.
Why LPL?
Innovative environment fostering creativity.
Limitless career potential.
Unified mission focused on client care.
Impactful work with real contribution.
Commitment to equality and diversity.
Community focus.
Comprehensive Total Rewards package.
Additional Information LPL will only communicate with applicants using a
@lplfinancial.com
email address and will never conduct an online interview or request payment. For questions regarding the application process, contact LPL Human Resources Solutions Center at (855) 575‑6947.
Principals only.
Location: Tijuana, Baja California, Mexico.
EOE. EAC1.22.25
#J-18808-Ljbffr
Provide high‑level subject‑matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions. Deliver an extraordinary service experience and operational trading support to advisors, staff, and clients in an inbound call center environment. Provide backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. Seek a collaborative, fast‑paced environment, client‑focused, flexible, and adaptable.
Responsibilities
Support advisors, clients, and internal partners with trading inquiries: order placement, research, corrections, and systems troubleshooting involving trading products.
Assist internal employees through knowledge sharing and escalation support, ensuring problem resolution.
Participate in weekly team huddles and bi‑monthly staff meetings to build trust and cooperation.
Build and leverage relationships with internal LPL departments, third‑party vendors, transfer agents, and sponsors to address escalations, improve processing pain points, mitigate risk, and safeguard against compliance violations.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps; determine if a technology incident should be raised.
Take consultative approaches to identify opportunities that increase operational efficiency and improve the advisor/client experience; coordinate with internal teams, sponsors, and transfer agents for trade‑related issues and action provisions.
Ensure a positive outcome for advisors/clients while minimizing recurring negative experiences.
Work through complex situations to understand root causes and determine economical solutions.
Requirements
3+ years of financial services, preferably in trading.
Series 7 and 63 required.
Registration in all U.S. states and territories required upon hire.
Core Competencies
Proficiency in standard computer knowledge, including software skills; ability to follow audible troubleshooting instructions.
Strong MS Office skills.
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, 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.
Experience with Beta, Morningstar, Siebel, ClientWorks.
Series 24 preferred.
VBA macros knowledge.
Pay Range $28.85–$48.08 per hour. Base salary varies based on skill, experience, education, performance, and geographic location. LPL Total Rewards includes 401 k matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth‑management firms in the U.S., supporting over 29,000 financial advisors and 1,100 institutions. We provide advisory affiliation models, investment solutions, fintech tools, and practice‑management services to help advisors run thriving businesses.
Why LPL?
Innovative environment fostering creativity.
Limitless career potential.
Unified mission focused on client care.
Impactful work with real contribution.
Commitment to equality and diversity.
Community focus.
Comprehensive Total Rewards package.
Additional Information LPL will only communicate with applicants using a
@lplfinancial.com
email address and will never conduct an online interview or request payment. For questions regarding the application process, contact LPL Human Resources Solutions Center at (855) 575‑6947.
Principals only.
Location: Tijuana, Baja California, Mexico.
EOE. EAC1.22.25
#J-18808-Ljbffr