Mutual Fund Trading Manager
Overview
You will supervise trading staff handling Mutual Funds, UITs, and Precious Metals products for LPL advisors. Own daily workflows, service levels, and escalated issue resolution. Lead a team in a fast-paced, team-oriented environment. This role drives operational excellence and staff development. You will ensure regulatory compliance and support senior leadership on complex issues.
What You'll Do8
- 1Supervise daily workflows to maintain service level averages, address escalated issues promptly, and complete end-of-day processes.
- 2Support staff with departmental goals including talent development, career pathing, and cross-training with interdepartmental trading teams.
- 3Drive operational excellence and efficiency through continuous process improvements.
- 4Support senior leadership on complex escalated issues from advisors, clients, or internal business partners.
- 5Ensure compliance with FINRA and SEC regulations for trading products.
- 6Identify trends and risks, and exercise judgment to de-escalate or escalate critical incidents.
- 7Collaborate with internal teams to deliver exceptional client experiences.
- 8Develop and mentor team members to enhance their skills and career growth.
Requirements10
- 1Bachelor’s degree in a related field or 5+ years of financial services experience, preferably in trading.
- 23+ years customer service experience with demonstrated operational excellence.
- 3Hold Series 7, 63 (or 66), and 24 certifications.
- 4Register in all US states and territories upon hire.
- 5Proficiency with Microsoft Office; intermediate Excel and VBA macros knowledge preferred.
- 6Strong written and oral communication skills.
- 7Problem-solving and organizational skills.
- 8Ability to de-escalate concerned callers with empathy and care.
- 9Ability to multitask and work independently in a virtual environment.
- 10Thorough knowledge of LPL and FINRA/SEC regulations as they pertain to trading products.
Salary Insight
$80 - $133k per year
Location
Required Skills
Similar open positions
Explore active roles that match your skills and interests.
Fidelity Brokerage Services LLC
VerifiedDirector Prime Trading - Fidelity Brokerage Services LLC
Lead a high‑performing team owning Prime trading and client support across equities ETFs options and fixed income. Drive accurate trade execution and client relationships while collaborating with risk compliance and operations. Seeking a seasoned professional with deep market knowledge and a commitment to excellence.
13-5674085 Merrill Lynch, Pierce, Fenner & Smith Inc
VerifiedInvestment Consultant II - Series 7 & 66
You will own client investment guidance for self-directed investors at Merrill Lynch, managing inbound and outbound calls to execute trades and resolve issues. You will educate clients on Merrill products, services, and trading strategies, while achieving high satisfaction and deepening relationships. You will work with financial markets data and trading platforms daily, with a focus on first-call resolution. This role requires Series 7 and Series 66 (or obtain within 90 days), with a passion for client success.
Empower Retirement, LLC
VerifiedSenior Manager Retirement Consultation – LMN
Lead and motivate senior retirement consultants specializing in large mega and not-for-profit employer-sponsored plans. Drive team performance and operational excellence while fostering a culture of inclusion and employee well‑being.
13-5674085 Merrill Lynch, Pierce, Fenner & Smith Inc
VerifiedInvestment Management Specialist
Merrill Wealth Management seeks an Investment Management Specialist to lead portfolio analysis and investment philosophy execution. This role drives holistic investment solutions aligning with client goals while supporting the Financial Advisors team through operational excellence and strategic partnership.
Oppenheimer & Co. Inc.
VerifiedAdvisory Program Product Specialist, Asset Management
This role owns the daily oversight and control reporting for Advisor Directed and Discretionary Advisory Programs at Oppenheimer, a leading middle-market investment bank. You will collaborate with Financial Advisors, Compliance, and Technology teams to enhance platform functionality and support business initiatives. With a focus on portfolio management tools and trading platforms, you will drive system rollouts, resolve defects, and improve client experience. This position offers direct exposure to senior stakeholders and the opportunity to shape program processes.
LPL Financial Corp
VerifiedSenior Analyst Overlay Trading LPL Financial
Senior Overlay Analyst leads daily management and trading of centrally managed platforms at LPL Financial. Develops reports for leadership and mentors junior analysts. This role drives process improvements and collaborates across teams to enhance efficiency and risk management.