LPL Financial

Mutual Fund Trader

LPL Financial
Posted 10/19/2026full-timeUnited StatesMid-LevelSenior💰 $30 - $50 per hourWebsite
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Core Competencies

Role fit
Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Mutual Fund, UIT, and Precious Metals products while providing operational trading support and ensuring compliance with trading regulations. Capable of analyzing complex situations to improve operational efficiency and enhance the Advisor/client experience.

Highest-signal resume keywords
Financial Services ExperienceSeries 7 CertificationSeries 63 CertificationKnowledge of Trading RegulationsMS Office Proficiency

Tech Stack

Tools & technologies
VBA

About the role

Key responsibilities & impact
  • Provide subject matter expertise on Mutual Fund, UIT, and Precious Metals products and operational functions
  • Deliver operational trading support to financial advisors, staff, and clients in an inbound call center environment
  • Support trading inquiries including order placement, research, corrections, and systems troubleshooting
  • Provide backup support to Equity Trading, Enhanced Trading, and Trading Operations desks
  • Assist internal employees through knowledge sharing, escalation support, and problem resolution
  • Participate in weekly team huddles and bi-monthly staff meetings
  • Build relationships with internal LPL departments, third-party vendors, transfer agents, and sponsors
  • Assist with escalations, improve processing pain points, mitigate firm risk, and safeguard against trading compliance violations
  • Act as liaison for Financial Advisors regarding mutual fund/UIT prospectuses and LPL trading platforms and resources
  • Identify risk, analyze procedures, resolve procedural gaps, and determine when Technology incidents should be raised
  • Identify opportunities to increase operational efficiency and improve the Advisor/client experience
  • Coordinate with internal teams, mutual fund sponsors, and transfer agents on trade-related issues
  • Work to ensure positive outcomes while minimizing recurring negative experiences
  • Analyze complex situations, identify root causes, and determine economical solutions

Requirements

What you’ll need
  • 3+ years of financial services experience, preferably in Trading
  • Series 7 and 63 (or 66) required
  • Registration in all US States & Territories required upon hire
  • Proficiency in standard computer knowledge and software skills
  • Ability 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 a fast-paced and deadline-driven environment
  • Knowledge of Mutual Fund, UIT and Precious Metals markets preferred
  • Knowledge of trading regulations and requirements preferred
  • General knowledge of Equities and Bond markets preferred
  • Beta, Morningstar, Siebel, and ClientWorks experience preferred
  • Series 24 preferred, but not required
  • VBA macros knowledge preferred

Benefits

Comp & perks
  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
  • Competitive LPL Total Rewards package

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills
Operational Trading SupportOrder PlacementSystems TroubleshootingAnalytical SkillsAttention to DetailVBA Macros KnowledgeKnowledge of EquitiesKnowledge of BondsKnowledge of Mutual Fund MarketsKnowledge of UIT Markets
Soft Skills
Communication SkillsAbility to Work IndependentlyAbility to Work in a Group SettingProblem ResolutionRelationship Building
Tools & Technologies
BetaMorningstarSiebelClientWorks
Certifications & Qualifications
Series 24 CertificationRegistration in All US States & Territories
Industry Keywords
Trading ComplianceOperational EfficiencyInbound Call CenterFinancial AdvisorsThird-Party Vendors