Mutual Fund Trader - Series 7 & 63

Are you looking to join a growing team with ample opportunities? Do you enjoy working on a team where we all help each other succeed?

Do you like learning new skills, problem solving and providing great service? Well grab this bull by the horns and look no further! As a longstanding conglomerate in the financial sector, LPL Financial is rapidly expanding with no signs of slowing down.

We're looking for enthusiastic candidates to join our trading team. Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.

Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice.

And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Mutual Fund Trader provides 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.

Responsibilities:

• Work in a call center environment taking an average of 35 inbound calls per day from Financial Advisors, their assistants, and their clients.

• Make outbound calls to Advisors regarding trades and trade corrections for Mutual Funds, UIT's and Precious Metals.

• Understand multiple products and the risks, fees, and differences between the products.

• 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.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• 3 to 5 years of financial services, preferably in Trading

• Series 7 and 63 required

• Obtain registrations in all states and territories.

Core Competencies:

• Strong MS Office skills required and Beta, Morningstar, Siebel, ClientWorks experience preferred

• Attention to detail

• Ability to work with other departments

• Strong analytical and communication skills

• Ability to work independently and within a group setting

• Ability to handle fast paced and deadline driven environment

Preferences:

• Knowledge of Mutual Fund, UIT and Precious Metals markets

• Knowledge of trading regulations and requirements

• General knowledge of Equities and Bond markets

Pay Range:

$29.19-$43.79/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

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

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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 @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 (855) 575-6947.