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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@lpl.com.
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Mutual Fund Trader (Series 7 & 63 req)

Job ID: R-011465 Date posted: 10/09/2020 Primary Location SC-Fort Mill

Mutual Fund Trader

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation’s largest independent broker/dealer with over 17,000 financial advisors and over 4500 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

Joining our team as a Mutual Fund 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.

The Mutual Fund Trader will work in a call center environment taking approximately 30-50 inbound calls per day from Financial Advisors, their assistants, and their clients. Traders will make outbound calls to Advisors regarding trades and trade corrections for Mutual Funds, UIT’s and Precious Metals. 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.

Essential Functions:

  • Accurately enter all trade orders in a timely manner without error across multiple trading platforms. (ClientWorks Online MutualFund Trading platform, BETA, FideliTrade, UIT sponsor online systems).
  • Maintain knowledge of various products and be able to explain the differences between the products to advisors, clients and internal business partners.
  • Ensure compliance with regulatory requirements.
  • Support internal business partners with executing trades (Transfers, Managed Platforms, Research, etc).
  • Support contingency plans to support system outages (including processing large volumes of trades via macro processing into our backend trading system).  Support LPL’s volume contingency plan (VCP) by training and supporting Equity Trading and Enhanced Trading in a VCP capacity. 
  • Provide advisors with information regarding sales and ticket charges, fund eligibility and LPL Financial processes as they pertain to mutual fund, UIT and precious metals transactions.


Qualifications:

  • 3 to 5 years of financial services, preferably in Trading
  • Series 7 and 63 required / Series 24 preferred
  • Strong MS Office skills required and Beta, Morningstar, Siebel, ClientWorks experience preferred
  • Attention to detail
  • Strong analytical and communication skills
  • Ability to work independently and within a group setting
  • Ability to work with other departments
  • Ability to handle fastpaced and deadline driven environment
  • Knowledge of Mutual Fund, UIT and Precious Metals markets
  • Knowledge of trading regulations and requirements 

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.

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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 @lpl.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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