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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
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Senior Operations Specialist, Settlements

Job ID: R-018691 Date posted: 11/22/2021 Primary Location SC-Fort Mill

Our Sr. Operations Specialist in Settlements will be responsible for balancing, reporting, and researching all exception items that settle through various depositories; as well basic financial and/or regulatory functions, and 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, and work well in a fast-paced environment, with the ability to multitask with multiple operational processes and multiple data input platforms.


  • Responsible for reconciling fails to receive/deliver for equity and fixed income metals, alternative investments, and foreign securities.

  • Generating reports and tracking trend numbers

  • Working with Contra Dealers, Purchase and Sales, Margins, Account Transfers, Compliance, and LPL Advisors at all levels

  • Monitoring departmental mailbox and Service Requests (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, DTC, and BONY preferred

  • Prior experience in processing Corporate Actions, Dividends, or Settlements with a Securities Brokerage, Bank Trust, or Transfer Agency organization

Preferred Qualifications:

  • Series 99 preferred

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 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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove