Mutual Fund Trader - Series 7 & 63

LPL Financial Services-posted 12 months ago
$28 - $48/Yr
Full-time • Entry Level
Remote • Tempe, AZ
1,001-5,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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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.

  • 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.
  • 3+ years of financial services, preferably in Trading
  • Series 7 and 63 required
  • Strong MS Office skills required
  • 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
  • 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
  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off
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