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Trading/Rebalancing - Equities & Mutual Fund

Job ID: R-012915 Date posted: 02/04/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

**Charlotte/Fort Mill and SD locations only

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 either a Mutual Fund Trader, Equity Traderor as a Consultant on ourRebalancing and Model Management support deskwill 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.

Primary Responsibilities:

The Rebalancing and Model Management Trading Support Desk provides system support and guidance to advisors regarding all aspects of our systems model management, rebalancing functionality, and trading tools. In addition to strong customer service skills, the Rebalancing consultant is expected to consult advisors on the best way to leverage the system capabilities to obtain their desired result and to provide technical and agile test support for system enhancements. Consultant should maintain a working knowledge about equity, option, ETF and mutual fund products, the markets, and strong understanding of market impact and execution complexities of large trades.  In addition, must maintain strong knowledge of Enhanced Trading System capabilities and rebalancing methodologies. 

The Equity Trading position essential functions would be to 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. 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.

The essential functions of the Mutual Fund Trader position 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.

All three positions are expected Support LPL’s volume contingency plan (VCP) by training and supporting Equity Trading and Enhanced Trading in a VCP capacity. 


3 to 5 years of financial services, preferably in Trading

Series 7 and 63 required for Mutual Fund and Rebalancing position, and 55/57 for Equity position

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 and/or equities and options

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 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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