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Lead Ops Specialist

Job ID: R-002012 Date posted: 01/11/2018 Primary Location SC-Fort Mill

The Cash Control Lead Ops Specialist will be responsible for daily supervision and monitoring of Cash Management processes for both quality and risk. Ideal candidate will possess strong communication, time management, organizational, and analytical skills with a good eye for identifying and understanding firm risk and regulatory guidelines. The Supervisor will be asked to assist management in the supervision and development of a team of Specialists and Senior Specialists which includes but is not limited to the evaluation of individual performance. Additionally, the Supervisor will assist management with the creation and review of various risk based reports, handle escalated issues, monitor service level agreements (SLA's) and participate in department projects. The individual's scope will include the risk and fraud review of checks, wires, ACH's, deposits, and journals, etc. The supervisor will be responsible for identifying escalation points and working to investigate and resolve issues.

Essential Functions:

Risk Management � Responsibilities include the creation, review and enforcement of various firm and regulatory risk based reports to ensure daily work is getting completed accordingly. Work with team of Specialists to ensure the communication and reconciliation of items such as review of checks, wires, ACH's, deposits, and journals for Quality, Risk, and to mitigate Fraud. Daily tasks must be completed in a deadline-driven environment.

Error Tracking and workflow supervision - Logging, tracking and reporting of errors as well as communicating escalations or suspicious activity. The Supervisor will be responsible for supervising daily responsibilities of team which include assessing and evaluating volumes and re-allocating resources as necessary which may include stepping in and processing whenever necessary to ensure SLA's are met.

Report review� Reviewing reports to confirm that items are being processed in conjunction with the firm's policies and procedures

Team Supervision and Development


Must be series 99 or 7 licensed, or able to obtain within 60 days of employment.

Brokerage and or banking experience is required

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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