Mutual Fund Trader: Client-Driven Trading Expert

LPL Financial; Fort Mill (SC); On-site; USD 41,000 - 68,000; Full time

Benefits offered by this job

Health benefits

401K matching

Paid time off

Job summary

LPL Financial in Fort Mill, SC, is seeking a Mutual Fund Trader who brings expertise in mutual funds, UITs, and precious metals to provide an extraordinary service experience and trading support to our financial advisors and clients in an inbound call center.

You will collaborate with internal teams, identify process improvements, and ensure regulatory compliance while helping advisors navigate the trading platform.

Qualifications

• 3+ years of financial services, preferably in Trading.
• Series 7 and 63 (or 66) required.
• Registration in all US States & Territories is required upon hire.

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.
• 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.

Skills

Analytical skills

Attention to detail

Communication skills

Independent work

Tools

VBA macros

Morningstar

Siebel

ClientWorks

Job description

LPL Financial in Fort Mill, SC, is seeking a Mutual Fund Trader who brings expertise in mutual funds, UITs, and precious metals to provide an extraordinary service experience and trading support to our financial advisors and clients in an inbound call center.

You will collaborate with internal teams, identify process improvements, and ensure regulatory compliance while helping advisors navigate the trading platform.