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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
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Equity Trading Administrator - FINRA 7, 63 REQUIRED & 57 a plus

Job ID: R-013312 Date posted: 06/15/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Equity Trading Administrator is a core role within the equity trading desk. In addition to having all the job functions of a normal trader, this individual has additional responsibilities including but not limited to:

  • routing larger equity and option orders
  • monitoring and maintaining technical connections with various market centers
  • communicating and managing the vendor relationships
  • controlling and managing the impact of corporate action events on open orders
  • monitoring trades for trade breaks and other trade settlement issues
  • maintaining account balancing within LPL inventory accounts
  • Documenting and maintaing all policies, procedures and controls for the administrative desk.

Additionally, this role is within a call center environment, taking 25-45 calls a day from advisors, clients and internal partners with a focus on customer service. The administrator should have an in-depth knowledge of equity, ETF and option markets and appreciates the market impact and execution complexity of large trades. It’s expected that the administrator also possess strong technical and analytical skills. This role will offer the ability to collaborate and gain insight into multiple internal departments including but not limited to, other trading desks, Technology, Purchase and Sales, Corporate Actions teams as well as a variety of outside firms and vendors.

Essential Functions:

1.Demonstrate a strong knowledge of market mechanics & conditions, LPL operations, Beta, trading platforms, and other areas of the Trade desk. Assist advisors with recommdations of order placements.

2. Demonstrate exceptional customer service skills with the ability to educate advisors and clients with a strong level of expertise.     

3.   Comply with regulatory requirements, adapt to new regulatory changes.  Have a thorough understanding of internal and external audits, actively review procedures, identify areas of risk, and ensure proper controls are followed.

4.   Maintain high-level knowledge of LPL processes and system platforms as they relate to Equity Trading and other areas that interact with trading. Help facilitate training programs for the group as well as other business units as needed. Represent Equity Trading as the subject matter expert for new projects when needed.

5. Demonstrate problem-solving and decision making. Identifying trading and settlement issues by working with the market centers and exchanges. Apply good judgment when routing large equity and option orders.  Act as a primary point of contact for market centers and other execution venues in addition to following, updating and maintaining all administrative procedures. 

Job Requirements:

Minimum Education required:  Bachelor’s Degree (preferred, but not required)

Minimum Experience required: (including years of experience) 3-5 years (focus in: Equity Trading)

Licenses/Certifications Required/Preferred: FINRA 7, 63 REQUIRED & 57 a plus

Software/Systems: Must be proficient in MS Excel & Word; Beta preferred 

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!

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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 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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