Equity Options Trader

LPL Financial•Tempe, AZ

4d•$30 - $50

About The Position

The Equity Trader provides trading support to financial advisors by delivering high-quality service. The role is based in a call center environment and involves taking inbound calls from financial advisors, their assistants, and their clients, as well as making outbound calls to advisors regarding trades and trade corrections. Traders must understand multiple products and their associated risks, fees, and differences; explain applicable regulatory requirements and LPL Financial policies; and ensure compliance with product guidelines, company policies, and regulatory requirements. Success requires flexibility and adaptability when managing competing priorities.

Requirements

FINRA Series 7 and Series 63 or 66 licenses are required.
Knowledge of equity and option markets.
Thorough knowledge of marketplace rules and regulations.
Demonstrated accuracy and attention to detail.
Excellent customer service skills, including the ability to listen and communicate clearly and concisely.
Ability to work productively in both small and large groups.
Ability to be flexible and adaptable while managing competing priorities.

Nice To Haves

Two or more years of trading desk experience.
FINRA Series 57 license.
Series 4 license.
Bachelor’s degree.

Responsibilities

Assist financial advisors, money managers, and retail clients with order placement and trade inquiries.
Resolve trade and settlement issues by working with market centers and exchanges.
Handle a high volume of inbound trading and service-related calls.
Make outbound calls to advisors regarding trades and trade corrections.
Explain product differences, risks, fees, regulatory requirements, and LPL Financial policies, and ensure compliance with applicable guidelines.