Trading Consultant

LPL Financial; San Diego (CA); On-site; USD 91,238,000 - 151,536,000; 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 a Consultant to provide trading support to financial advisors on our Rebalancing and Model Management Trading Support Desk. You will ensure reliable support for model management, rebalancing, and block trading tools while learning two trading system capabilities and onboarding new advisors.

The role emphasizes strong customer service, collaboration with technology and agile teams, and training across Equity and Mutual Fund Trading as needed.

Qualifications

• 2-5 years of financial services experience.
• Knowledge of mutual funds, equities, and options.
• Familiarity with trading regulations and compliance.

Responsibilities

• Provides system support and guidance to advisors regarding models, rebalancing, and block trading tools.
• Maintains knowledge of markets, products, and complex execution for large trades.
• Educates and consults advisors on system capabilities to achieve objectives.
• Handles 20-35 inbound calls per day.
• Supports training for Equity and Mutual Fund Trading as needed.
• Collaborates with Technology and agile project teams.

Skills

Mutual funds knowledge

Equities knowledge

Options knowledge

Trading regulations knowledge

Customer service skills

Tools

Jira

CRM systems

Microsoft Office

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.

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 a Consultant on our Rebalancing and Model Management Trading Support Desk 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.

Responsibilities

• Provides system support and guidance to advisors regarding our systems, including model management, rebalancing functionality, and block trading tools.
• Maintains a working knowledge of equity, option, ETF, and mutual fund products, the markets, and the market impact and execution complexities of large trades. In addition, Consultants must maintain strong knowledge of two separate trading system capabilities and rebalancing methodologies.
• Masters all aspects of the systems to educate and consult advisors on the best way to utilize system capabilities to obtain their desired objectives using strong customer service skills.
• Assists with 20-35 inbound calls a day.
• Consultants are also expected to support LPL’s Volume Contingency Plan by training and supporting Equity Trading and/or Mutual Fund Trading as needed.
• Works closely with the Business Transition Partners team to showcase Enhanced Trading’s capabilities to prospective LPL Financial advisors and then helps train and onboard the advisor once in the onboarding process.
• Supports advisor-facing virtual demonstrations, educational workshops around key functionality, and partnership with Technology and agile project teams.
• Additional responsibilities or duties may be assigned as needed or determined.

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

• 2-5 years of financial services experience
• 1+ years of customer service or call center experience

Core Competencies

• Knowledge of mutual funds, equities, and options
• Knowledge of trading regulations and requirements

Preferences

• Series 7 preferred.
• Experience with Jira project management software and QA/UAT testing is a plus.
• A background or experience in agile project management, public speaking, coaching, and talent development is a plus.
• Microsoft Office skills required.
• Experience with trading, rebalancing, model management, CRM, or financial services platforms preferred. Experience with Beta, Thomson ONE, Microsoft Dynamics, ClientWorks, CWR, or ModelHub is a plus.

Pay Range

$31.84-$53.04/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K 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. 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.

Principals only. EOE.

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].