Mutual Fund Trader

• 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

• 3+ years of financial services, preferably in Trading

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• Registration in all US States & Territories is required upon hire

• 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

• Knowledge of Mutual Fund, UIT and Precious Metals markets
• Knowledge of trading regulations and requirements
• General knowledge of Equities and Bond markets
• Beta, Morningstar, Siebel, ClientWorks experience preferred
• Series 24 preferred, but not required
• VBA macros knowledge

#LPL-PA #LPL-H1

Pay Range:

$29.71-$49.52/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!