LPL Financial is looking to solve the problem of providing high-level subject matter expertise with Mutual Fund, UIT, and Precious Metals products and operational functions to deliver an extraordinary service experience and provide operational trading support to financial advisors, staff, and their clients.
Requirements
- 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.
- 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
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.
- 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.
- 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.
Other
- 3+ years of financial services, preferably in Trading
- Ability to work with other departments
- Ability to work independently and within a group setting
- Ability to handle fast paced and deadline driven environment
- Strong analytical and communication skills
