Senior Operations Specialist, Purchasing & SalesApply Job ID: R-014240 Date posted: 07/13/2021 Primary Location SC-Fort Mill
Our Purchase & SalesSr. Operations Specialist in Purchase and Sales will be responsible for financial and/or regulatory functions, will ensure compliance with all prescribed internal policies and regulatory practices. The ideal candidate has excellent data entry skills (both numeric and alpha) is accurate and timely and will be expected to review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items in a timely manner. Additionally, the ideal candidate will be a team player, possess excellent time management skills, ability to learn new complicated tasks, willingness to take on new tasks, works well in a fast-paced environment, with the ability to multitask with multiple operational processes and multiple data input platforms.
Responsible for balancing, reconciling, and comparing option, equity, and fixed income trade breaks.
Processing trade corrections for equity and fixed income transactions
Generating reports and tracking trend numbers
Processing of disposition worthless security forms
Working with Equity and Fixed Income Trading, Contra Dealers, Settlements, Margins, ACATS, Compliance, and LPL Advisors at all levels.
Monitoring departmental mailbox and Dynamics
Answering phone queue
Actively participates in learning activities in a way that makes the most of the learning experience by applying to daily responsibilities
Recognizes issues, problems, or opportunities and determines whether action is needed
Makes connections & offers creative recommendations on how to solve business challenges.
1-2 years of financial service experience
Word, Excel, Access, Outlook, Siebel
Knowledge of BETA, OCC, DTC, or ACT preferred
Prior experience in processing Corporate Actions, Dividends, or Settlements with a Securities Broker, Bank Trust, or Transfer Agency organization
- Series 99 or 7
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.
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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 @lplfinancial.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.