Mutual Fund Trader

Where Ambition Meets

Innovation:

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The Mutual Fund Trader will provide a high level of subject matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions. The primary focus of the trader is to deliver an extraordinary service experience and provide operational trading support to our financial advisors, staff, and their clients in an inbound call center environment. This role will also provide backup support to other internal support desks, including Equity Trading, Enhanced Trading, and Trading Operations.

The role requires individuals seeking a collaborative, fast-paced environment, are client-focused, and are able to execute in a way that encourages creativity and continuous improvement. Being flexible and adaptable to competing priorities will be key success factors for this position.

Responsibilities:

Supporting Advisors, clients, and internal business partners with trading inquiries which may include order placement, research, corrections, and systems troubleshooting involving trading products

Assisting internal employees through knowledge sharing, escalation support, and ensuring problem resolutions are reached

Participation in weekly team huddles and bi-monthly staff meetings to build mutual trust, respect, and cooperation among team members

Building and leveraging relationships with internal LPL departments, 3rd party vendors, transfer agents, and sponsors to assist with escalations, improve processing pain points, mitigate risk to the firm, and safeguard against trading compliance violations. Acting as liaison for Financial Advisors who may raise inquiries regarding mutual fund/UIT prospectus or assistance with navigating LPL’s trading platform and resources

Identify risk, analyze procedures, and work with managers to resolve procedural gaps. When applicable, determine if a Technology incident should be raised for further investigation

Taking consultative approaches to identify opportunities that increase operational efficiency and improve the Advisor/client experience. Coordinating with internal teams, mutual fund sponsors, and transfer agents for trade related issues/pain points and action said provisions to improve processes

Work to ensure a positive outcome for Advisors/clients while also minimizing the possibility of a reoccurring negative experience

Work through complex situations to understand the root cause of problems and determine economical solutions

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:3+ years of financial services, preferably in Trading Series 7 and 63 (or 66) required

Registration in all US States & Territories is required upon hire

Core Competencies:

Proficiency in standard computer knowledge (including software skills) and must be able to follow audible troubleshooting instructions if/when necessary MS Office skills required

Attention to detail

Ability to work with other departments

Analytical and communication skills

Ability to work independently and within a group setting

Ability to handle fast paced and deadline driven environment

Pre…