LPL Financial
Mutual Fund Trader - Series 7 & 63
LPL Financial, Fort Mill, South Carolina, United States, 29715
Job Overview
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.
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 role is focused on delivering an extraordinary service experience and providing operational trading support to our financial advisors, staff, and their clients in an inbound call‑center environment. The trader also offers backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. The position is ideal for individuals who thrive in a collaborative, fast‑paced environment, are client‑focused, and execute with creativity and continuous improvement.
Responsibilities
Support Advisors, clients, and internal partners with trading inquiries that may include order placement, research, corrections, and systems troubleshooting involving trading products.
Assist internal employees through knowledge sharing, escalation support, and ensuring problem resolutions are reached.
Participate in weekly team huddles and bi‑monthly staff meetings to build mutual trust and cooperation among team members.
Build and leverage relationships with internal LPL departments, 3rd‑party vendors, transfer agents, and sponsors to assist with escalations, improve processing pain points, mitigate risk, and safeguard against trading compliance violations.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps; determine if a Technology incident should be raised for further investigation.
Take consultative approaches to identify opportunities that increase operational efficiency and improve the Advisor/Client experience; coordinate with internal teams, mutual‑fund sponsors, and transfer agents for trade‑related issues and action steps to improve processes.
Ensure a positive outcome for Advisors/Clients while minimizing the possibility of a recurring negative experience.
Work through complex situations to understand the root cause of problems and determine economical solutions.
Requirements
3+ years of experience in financial services, preferably in Trading.
Series 7 and 63 required.
Registration in all U.S. States & Territories required upon hire.
Core Competencies
Proficiency in standard computer knowledge (software skills) and ability to follow audit‑based troubleshooting instructions.
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, deadline‑driven environments.
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, and ClientWorks 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 relevant skill, prior experience, education, internal peer comparison, performance, and geographic location. The LPL Total Rewards package is highly competitive, supporting employee success at work, at home, and at play (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 among the fastest growing wealth management firms in the U.S., supporting over 29,000 financial advisors and 1,100 financial institutions. The firm services and custodies approximately $1.9 trillion in brokerage and advisory assets, representing about 7 million Americans.
Information on Interviews LPL will communicate with candidates only from a
@lplfinancial.com
email address and never conduct an interview online or in a chatroom forum. During an interview, LPL will not request payment from the applicant or information about their bank or credit card. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
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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.
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 role is focused on delivering an extraordinary service experience and providing operational trading support to our financial advisors, staff, and their clients in an inbound call‑center environment. The trader also offers backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations. The position is ideal for individuals who thrive in a collaborative, fast‑paced environment, are client‑focused, and execute with creativity and continuous improvement.
Responsibilities
Support Advisors, clients, and internal partners with trading inquiries that may include order placement, research, corrections, and systems troubleshooting involving trading products.
Assist internal employees through knowledge sharing, escalation support, and ensuring problem resolutions are reached.
Participate in weekly team huddles and bi‑monthly staff meetings to build mutual trust and cooperation among team members.
Build and leverage relationships with internal LPL departments, 3rd‑party vendors, transfer agents, and sponsors to assist with escalations, improve processing pain points, mitigate risk, and safeguard against trading compliance violations.
Identify risk, analyze procedures, and work with managers to resolve procedural gaps; determine if a Technology incident should be raised for further investigation.
Take consultative approaches to identify opportunities that increase operational efficiency and improve the Advisor/Client experience; coordinate with internal teams, mutual‑fund sponsors, and transfer agents for trade‑related issues and action steps to improve processes.
Ensure a positive outcome for Advisors/Clients while minimizing the possibility of a recurring negative experience.
Work through complex situations to understand the root cause of problems and determine economical solutions.
Requirements
3+ years of experience in financial services, preferably in Trading.
Series 7 and 63 required.
Registration in all U.S. States & Territories required upon hire.
Core Competencies
Proficiency in standard computer knowledge (software skills) and ability to follow audit‑based troubleshooting instructions.
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, deadline‑driven environments.
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, and ClientWorks 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 relevant skill, prior experience, education, internal peer comparison, performance, and geographic location. The LPL Total Rewards package is highly competitive, supporting employee success at work, at home, and at play (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 among the fastest growing wealth management firms in the U.S., supporting over 29,000 financial advisors and 1,100 financial institutions. The firm services and custodies approximately $1.9 trillion in brokerage and advisory assets, representing about 7 million Americans.
Information on Interviews LPL will communicate with candidates only from a
@lplfinancial.com
email address and never conduct an interview online or in a chatroom forum. During an interview, LPL will not request payment from the applicant or information about their bank or credit card. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
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