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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lpl.com.
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Lead Ops Specialist

Job ID: R-013111 Date posted: 04/15/2021 Primary Location SC-Fort Mill

Are you solution-oriented and passionate about delivering results? And do you like thinking outside the box, learning new skills and problem solving? If you answered yes, you may be able to contribute to the success of LPL Financial.

If you are an agile-minded experienced individual with an eye for simplifying complex data who can work in the fast-paced financial services industry? Then this is an opportunity to be a part of a great team.

Job Overview:

The Margin Lead role will help the firm identify and prevent risk across customer accounts.  Candidates will be knowledgeable with industry rules and will be able to monitor transaction and market activity to help our customers and the firm maintain compliance.  The lead will have an opportunity to supervise a small group of talented individuals and will be able de-escalate and work with our Financial Professionals to find solutions to complex situations.

Essential Functions:

  • Possess and leverage a strong industry knowledge with a focus on regulatory requirements and assist LPL Financial maintain compliance with firm and regulatory guidelines.  Review key risk and staff reports and take action on enforcement of opportunities.
  • Monitor accounts and transactions across a wide variety of topics including but not limited to margin call activity, debit/short balances, and options. 
  • Possessing strong written and verbal communication skills, the candidate will interact daily with LPL Financial Advisors, department staff, as well as across various departments within Operations and the firm to gain alignment and achieve results.
  • The candidate must work well in a deadline driven environment and monitor the team’s service levels in order to maintain accountable to our advisors and their customers.
  • The individual must also be detail oriented and be able to systematically review large amounts of data to validate completeness and accuracy in line with audit requirements.
  • The Lead will be personable and keep the team engaged.  They will assist conducting training and development meetings, and assist with evaluating team performance and provide recommendations to management development opportunities.
  • The individual will possess a drive for continuous improvement and will submit ideas and recommendations to management on potential policy and procedures enhancements for the benefit of the department and the firm

Qualifications:

  • Bachelor’s degree, preferably in Finance or related field
  • Minimum 2 years’ experience general brokerage industry knowledge
  • Series 7/SIE licenses required/preferred
  • Proficient with Microsoft Excel and Access
  • The ability to work in a cross-functional team and multi-task in a fast paced deadline driven environment
  • The ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk
  • Strong communication skills, both written and oral, and willingness to speak up, talk to advisors and stakeholders
  • Strong analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives

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!
  • We take social responsibility seriously.  Learn more here!
  • Want to see info on our benefits?  Learn more here.

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!

We take social responsibility seriously. Learn more here

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 @lpl.com 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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