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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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Senior Ops Specialist

Job ID: R-013040 Date posted: 03/24/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

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 Senior Specialist will help the firm monitor transactions in customer accounts.  Candidates will be proficient the financial services industry and will be able to apply their skillset to help the team and firm succeed.  Individuals will have a strong analytical and problem-solving skillset in order to leverage daily reports and to dissect account activity to find root-cause and identify solutions.  Candidates will have advanced communication skills to help resolve issues in order to avoid escalations.

Essential Functions:

  • The review, communication, and enforcement of firm and regulatory guidelines as it relates to margin and trading activity
  • Review, communication, and enforcement of firm and regulatory guidelines as it relates to Trade related items and Regulation T requirements
  • Includes identification, research and resolution of non-trade items, such as short positions and debits
  • Review daily risk reports and identify and resolve potential risk items such as options and regulatory violations
  • Review and completion of various departmental reports to meet audit requirements
  • Daily interaction with LPL Financial Advisors, department management as well as various departments within LPL Financial to resolve account imbalances
  • Ability to identify areas of enhancement with regards to workflows and policy/procedures to mitigate risk and ensure the proper handling of various job functions

Qualifications:

  • Bachelor’s degree, preferably in Finance or related field
  • Minimum 2 years’ experience general brokerage industry knowledge
  • Series 7/SIE licenses 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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