Job Overview:The Mutual Fund Trading Manager supervises and supports trading staff responsible for providing frontline trading support to LPL advisors and their clients with Mutual Fund, UIT, and Precious Metals products. Managers are expected to demonstrate a comprehensive business acumen, proficiency of daily operational trading functions, and fluency in department policies, procedures, and regulatory requirements associated with Mutual Funds, UITs, and Precious Metals products.
Responsibilities:- Please note that Managers are not permitted to provide financial advice or guidance in trade decision making.
- Support staff with their departmental goals including, but not limited to talent development, career pathing, and cross-training with interdepartmental trading teams.
- Supervise and direct daily workflows to ensure Trading's service level averages are maintained, escalated issues are addressed in a timely manner, and end of day processes are completed.
- Driving Operational excellence and efficiency through continuous process improvements.
- Supporting senior leadership with complex and escalated issues from Advisors, clients, or internal business partners.
What are we looking for?We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates
pursue greatness,
act with integrity, and are
driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together and
create and share joy in our work.
Requirements:- Bachelor's degree in a related field or 5+ years of financial services experience, preferably in Trading
- 3+ years Customer Service experience and ability to demonstrate operational excellence
- *Series 7, 63 (or 66), and 24 ARE A REQUIREMENT
- Registration in all US States & Territories is required upon hire
Core Competencies:- Proficiency in standard computer knowledge (including software skills) and must be able to follow audible troubleshooting instructions if/when necessary
- Microsoft Office skills- Intermediate Excel and VBA macros knowledge is preferred
- Written and oral communication skills
- Problem-solving and organizational skills
- Ability to deescalate concerned callers while displaying empathy and care
- Ability to multitask and work independently within a virtual environment
- Analytical mindset and very detail-oriented
- Self-starter with the ability to build sustainable relationships with teammates, internal departments, and external contacts
- Thorough knowledge of LPL and FINRA and/or SEC regulations and requirements as they pertain to trading our specific products
- Ability to identify trends, issues, and anticipate possible risk, and exercise judgement to de-escalate and/or escalate critical incidents when needed.
#LI-PA
Pay Range: $79,928.00 - $133,282.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
