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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Equity Trader (Series 7 & 63 Req)

Job ID: R-014044 Date posted: 09/09/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

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. EOE

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. 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 (800) 877-7210.

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