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Ops Specialist

Job ID: R-002109 Date posted: 01/22/2018 Primary Location SC-Fort Mill

Job Description:   The Cash Control Ops Specialist will be responsible for monitoring Cash Control processes for both quality and risk. The individual will review checks, wires, ACH’s, deposits, and journals for quality.  They will also review transactions to determine approval based on funds availability. During the review of the cash management processes, the specialist will also be responsible for identifying, stopping and escalating items processed that are not in line with the firms policies and procedures.

Essential Functions:

Process Review-  Review checks, wires, ACH’s, deposits, and journals for Quality, Risk, and to mitigate fraud. Daily Task must be completed in a deadline driven environment

Error Tracking- Logging, tracking, and reporting of errors as well as communication escalations or suspicious activity. 

Continuous Learning- Keeping up to date on new processes and controls, actively participating in daily huddles and monthly department and other meetings.

Job Requirements:

Minimum Education Required: College Degree

Minimum Experience Required: 2 years general brokerage industry knowledge, previous Customer Service experience, and must have the ability to work a shift between the hours of 7am and 7pm.

Licenses/Certifications Preferred: FINRA Series 7/66

Software/Systems Skills Required/ Preferred:

  • Microsoft Office package
  • BETA
  • Documentum
  • Siebel

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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