Sunday, November 8, 2009

Equity / Mutual Fund Trader

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Build your career at LPL Financial!

LPL Financial is a national independent brokerage firm with corporate headquarters in Boston, San Diego and Charlotte and offices in other field locations across the country.

As LPL Financial employees, we are passionate about what we do and we are proud of the quality service we deliver to our customers.

We are driven by quality and committed to service. LPL Financial employees are professional, goal–oriented, and enthusiastic. Our employees describe our culture as dynamic, challenging, and fast–paced. If you share these qualities and interests, we want to know more about you.

For the 12th year in a row, LPL Financial Services (LPL) has been named America's number one independent brokerage firm*. Formed in 1989 through the merger of two small but successful brokerage firms, Linsco and Private Ledger, our firm continues to be an industry leader. Both a pioneer and innovator in the financial services arena, LPL manages over $95 billion in assets through its nationwide network of financial advisors. With headquarters in Boston, San Diego, and Charlotte we support over 10,000 financial advisors in more than 6,000 branch offices. The focus of our firm has always been on our advisors and our commitment to help them grow their business. In addition to providing independent research and operational support, LPL also leads the way on the technology front, offering innovative investment platforms that automate time-consuming functions. LPL's technology streamlines business processes for advisors, freeing up their time to focus on what they do best; provide sound financial advice and services to their clients.

LPL is a company for talented people who thrive in a dynamic, challenging and growth-oriented environment. You are invited to consider an opening for a Records Specialist in our San Diego office:

UVEST Trading Desk Staff are primarily responsible for assisting Financial Advisors and their clients with placing trades on Equity, Option, Mutual Fund, Unit Investment Trusts and Precious Metals. Traders will also monitor on line trading activity, assist advisors and their clients with use of the on line trading system as well as provide pertinent market related data and news.

* Assisting with advisors and their clients with their trades over the telephone (80%)
* Assisting third party money managers by phone, fax and email (10%)
* Monitoring on line trading activity (10%)

Other Job Duties:

* Trading operations and reconciliation tasks
* Assist in the trade correction process
* BA/BS Degree preferable
* 3 years of industry experience is required.
* FINRA Series 7 and 63 (or 7 and 66) licenses are required.
* FINRA Series 55 license or ability to obtain that license within 6 months of start date is required.
* FINRA Series 4 and 24 preferred.
* Knowledge of Pershing systems, Excel, Word, Access, and Internet.
* Trader will regularly interact and communicate with Service Center Staff, Financial Advisors, Money Managers, End Clients, and Relationship Manager also including upper and middle management in both Trading and Operations.
* Must be an affective communicator and able to multi-task. Example: Placing trades on the system while on the phone and approving orders.

We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

PLEASE NOTE: Valid LPL Financial job postings will not request personally identifying information (such as bank account information, social security numbers, credit card numbers, user names and passwords, etc.). If you are contacted by someone claiming to represent LPL Financial and are asked to provide the same type of information, be aware that LPL Financial does not request this type of information of job applicants, and this inquiry could be a form of “phishing.” To verify the validity of LPL Financial job postings, please go to our Careers page on, as all open positions are posted on this Web site.

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