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Lead Ops Specialist

Job ID: R-022453 Date posted: 05/13/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Job Description

Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Lead Ops Specialist in Cash Management will be located in San Diego, CA or Fort Mill, SC and helps oversee various cash management tasks. The position would include, but is not limited to, the review and oversight of incoming and outgoing check, wire, ACH, and journal activity. Additionally, this individual will be responsible for supporting various staff management functions between the Fort Mill and San Diego locations.

Primary Responsibilities:

  • Responsible for coordinating and supervising department workflow and handling escalated issues for both retirement and Non-retirement accounts.

  • Daily review of client accounts and external request for high dollar wires, checks, journals, and ACH transactions. Identifying risk and assuring audit controls.

  • Daily monitoring and training of offshore and onshore staff to assure adherence to procedures and SLA's.

  • Working closely with all team members to ensure they are meeting designated goals

  • Directly supporting management for department and organizational level initiatives

  • Work weeks can exceed the standard 40 hours on occasion

What are we looking for?

The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation.


  • Must hold Series SIE, 99 and/or 7 license or able to obtain within 90 days of employment.

  • 3+ Years of operations experience at a broker-dealer preferred

Core Competencies:

  • Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management

  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines

  • Can maintain a high level of output and achieve results without sacrificing quality

  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment

  • Demonstrates accuracy and thoroughness in performing work assignments

  • Ability to analyze information and strong reporting skills

  • Ability to develop positive working relationships and works well in a team setting

  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision


  • Bachelor's degree

  • Experience leading staff

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

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Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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