Manager, Trading

LPL Financial•Charlotte, NC

1d•Remote

About The Position

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.

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
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.

Responsibilities

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.