LPL Financial · 2 hours ago
Mutual Fund Trader - Series 7 & 63
Tempe, AZ
Full-time
Onsite
Mid Level
$28.85/hr - $48.08/hr
3+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success. The Mutual Fund Trader will provide expertise in Mutual Fund, UIT, and Precious Metals products while delivering exceptional service and operational support to financial advisors and clients in a fast-paced environment.
FinanceFinancial Services
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
Qualification
Required
3+ years of financial services, preferably in Trading
Series 7 and 63 required
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
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
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (66)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
MarketScreener
2025-12-16
2025-12-12
Investor's Business Daily
2025-12-11
Company data provided by crunchbase