Equity Options Trader

LPL Financial LLC; Tempe (AZ); On-site; USD 41,000 - 68,000; Full time

Benefits offered by this job

401K matching

health benefits

employee stock options

paid time off

volunteer time off

Job summary

LPL Financial is seeking an Equity Trader to provide trading support to financial advisors and clients from a call-center style environment. You will handle order placements, trade inquiries, and resolve settlement issues while adhering to regulations.

The role requires FINRA licenses (7 & 63/66) and knowledge of equity/option markets, with attention to detail and strong customer service in a fast-paced team setting. Pay ranges hourly with benefits and growth opportunities.

Qualifications

• FINRA Series 7 & 63 or 66 licenses required.
• Knowledge of equity and option markets.
• Thorough knowledge of market place rules and regulations.
• Demonstrated high degree of accuracy and attention to details.
• Excellent customer service skills with the ability to listen and communicate in a clear and concise manner.
• Must be able to work productively in both a small and large group setting.

Responsibilities

• Assist financial advisors, money managers, and retail clients with order placement and trade inquiries.
• Assist in resolving trade and settlement issues by working with the market centers and exchanges.
• Handle a high volume of inbound trading and service related calls

Skills

Customer service

Attention to detail

Equities knowledge

Communication

Education

Bachelor's degree preferred

Tools

FINRA Series 7 & 63/66 licenses

FINRA Series 57 license preferred

FINRA Series 4 license preferred

Job description

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview: Joining our team as an Equity Trader will allow you to provide trading support to our financial advisors by offering an extraordinary quality service experience. Our trading team’s main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position. As an Equity Trader you will work in a call center environment taking inbound calls from Financial Advisors, their assistants, and their clients. Traders will also make outbound calls to Advisors regarding trades and trade corrections. Traders must be able to understand multiple products and the risks, fees, and differences between the products. Traders must also understand and be able to explain the regulatory requirements and LPL Financial policies that govern the products we support and ensure compliance with product guidelines, LPL Financial policies and regulatory requirements.

Responsibilities

• Assist financial advisors, money managers, and retail clients with order placement and trade inquiries
• Assist in resolving trade and settlement issues by working with the market centers and exchanges
• Handle a high volume of inbound trading and service related calls

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

• FINRA Series 7 & 63 or 66 licenses required
• Knowledge of equity and option markets
• Thorough knowledge of market place rules and regulations
• Demonstrated high degree of accuracy and attention to details
• Excellent customer service skills with the ability to listen and communicate in a clear and concise manner
• Must be able to work productively in both a small and large group setting

Preferences

• 2+ years trading desk experience preferred
• FINRA Series 57 license preferred
• Series 4 license preferred
• Bachelor's degree preferred

Pay Range: $29.71-$49.52/hour

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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.

For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

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 [phone].

EEO.

Benefits, Culture, Social Responsibility

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* As reported by Financial Planning magazine, June 1996-2019, based on total revenue.