Mutual Fund Trading Specialist for Advisors

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

Job summary

LPL Financial is seeking a Mutual Fund Trader to deliver expert support for Mutual Fund, UIT, and Precious Metals products in an inbound call center. The role emphasizes superior service delivery to financial advisors, staff, and clients, with back-up support across Trading Operations and related desks.

The ideal candidate has 3+ years in financial services trading, holds Series 7 and 63 (or 66), and is registered in all US states.

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 including order placement, research, corrections, and troubleshooting.
• Assist internal employees through knowledge sharing and escalation support to resolve issues.
• Participate in weekly team huddles and bi-monthly staff meetings to build mutual trust and cooperation.
• Build relationships with internal departments, 3rd party vendors, transfer agents, and sponsors to assist with escalations, mitigate risk, and ensure compliance.
• Identify risk and analyze procedures; collaborate with managers to resolve gaps and determine if a technology incident should be raised.
• Identify opportunities to increase operational efficiency and improve Advisor/client experience; coordinate with teams and sponsors.
• Work to ensure positive outcomes for Advisors/clients while minimizing negative experiences.

Skills

Trading

MS Office

Series 7/63

MS Excel

Tools

VBA macros

Morningstar

Siebel

ClientWorks

Job description

LPL Financial is seeking a Mutual Fund Trader to deliver expert support for Mutual Fund, UIT, and Precious Metals products in an inbound call center. The role emphasizes superior service delivery to financial advisors, staff, and clients, with back-up support across Trading Operations and related desks.

The ideal candidate has 3+ years in financial services trading, holds Series 7 and 63 (or 66), and is registered in all US states.