Senior Equity Options Trader

LPL Financial

. Engage with Financial Advisors, assistants, and end clients .

Posted 9/16/2026full-timeTempe • Arizona • United StatesSenior💰 $86,726 - $144,612 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates deep knowledge of equity and option markets, regulatory requirements, and compliance policies while providing exceptional customer service and support to financial professionals. Capable of executing trades with high accuracy and attention to detail, while identifying efficiencies for the trading desk.

Highest-signal resume keywords

Equity And Option TradingFINRA Series 7 LicenseFINRA Series 63 Or 65 LicenseTrading Desk ExperienceAlgorithmic Trading

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Equity TradingOption TradingMarketplace Rules And RegulationsTrade Execution QualityReview & ReleaseBETA TradingOMS ExperienceEMS ExperienceRFQ PlatformsAttention To Detail

Soft Skills

Customer Service SkillsClear CommunicationListening SkillsProblem ResolutionTeam Collaboration

Certifications & Qualifications

FINRA Series 55 LicenseFINRA Series 57 LicenseSeries 4 LicenseSeries 24 License

Industry Keywords

Financial AdvisorsThird-Party Market CentersInstitutional TradersRegistered Investment AdvisorsTrade Settlement Issues

About the role

Key responsibilities & impact

Engage with Financial Advisors, assistants, and end clients
Make outbound calls to Advisors regarding trades, corrections, and education
Develop relationships with third-party market centers and execution platforms
Collaborate with internal departments including Product, Compliance, Purchase & Sales, Licensing & Registration, and Business Development
Provide guidance and assistance in all aspects of equity and option trading for best possible execution
Resolve trade and settlement issues with market centers, exchanges, and back office
Liaise with third-party money managers, Registered Investment Advisors, and Institutional Traders
Review and approve large trades for the trading team
Maintain accountability for trade execution quality and review the blotter daily after close
Provide support, guidance, and training for junior equity traders
Handle and resolve escalated calls and issues
Identify efficiencies and improvements for the trading desk
Become a subject matter expert across multiple products, including their risks, fees, and differences
Explain regulatory requirements and LPL Financial policies and ensure compliance

Requirements

What you’ll need

Deep knowledge of equity and option markets
Thorough knowledge of marketplace rules and regulations
Demonstrated high degree of accuracy and attention to detail
Excellent customer service skills
Ability to listen and communicate clearly and concisely
FINRA Series 7 and 63 or 65 licenses required
FINRA Series 55 or 57 license required or obtained within 90 days
4+ years of trading desk experience strongly preferred
Series 4 and 24 licenses preferred
Knowledge and experience with Review & Release
Experience trading in BETA strongly preferred
Experience with OMS or EMS strongly preferred
Knowledge and experience with RFQ platforms
3 to 5 years working with and/or supporting financial professionals
Ability to work productively in both small and large group settings
Experience with algorithmic trading
High school or equivalent diploma; Bachelor's degree preferred

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Supportive and responsive leadership team
Creativity and growth opportunities
Workplace equality and diverse perspectives
Community involvement opportunities