Mutual Fund Trader — Client-First Ops Specialist

LPL Financial; 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 in Tempe, AZ is seeking a Mutual Fund Trader to provide expert support for Mutual Fund, UIT, and Precious Metals products. The role focuses on exceptional client service, operational trading support, and collaboration across teams in a fast-paced environment.

The ideal candidate has 3+ years in financial services, holds Series 7 and 63 (or 66), and is registered in all US states. Expect teamwork, process improvement, and compliance-driven decision making.

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

• Support Advisors, clients, and internal partners with trading inquiries, orders, and troubleshooting.
• Assist colleagues through knowledge sharing and escalation support to reach resolutions.
• Participate in weekly team huddles and bi-monthly meetings to build trust and cooperation.
• Build relationships with internal departments, vendors, transfer agents, and sponsors to improve processes and mitigate risk.
• Identify risk, analyze procedures, and determine if technology incidents should be raised.

Skills

Trading knowledge

Client communication

Analytical skills

MS Office

Education

Series 7/63 license or equivalent

Tools

VBA macros

Morningstar

Siebel

ClientWorks

Job description

LPL Financial in Tempe, AZ is seeking a Mutual Fund Trader to provide expert support for Mutual Fund, UIT, and Precious Metals products. The role focuses on exceptional client service, operational trading support, and collaboration across teams in a fast-paced environment.

The ideal candidate has 3+ years in financial services, holds Series 7 and 63 (or 66), and is registered in all US states. Expect teamwork, process improvement, and compliance-driven decision making.