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Equity Trader (Series 7 & 63 Req)

Job ID: R-007709 Date posted: 10/17/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation’s largest independent broker/dealer with over 15,000 financial advisors and over 4000 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

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.

What you’ll do

As an Equity Trader you will work in a call center environment taking approximately 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.

Primary 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

    Qualifications:

  • 3 years trading desk experience
  • 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
  • FINRA Series 7 & 63 or 65 licenses required; FINRA Series 55 license preferred or obtained within 90 days; Series 4 license preferred
  • Bachelors degree preferred

    We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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