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Settlements Manager

Job ID: R-000073 Date posted: 05/09/2017 Primary Location SC-Fort Mill

Job Requirements:

The ideal candidate will be responsible for managing staff in a fast paced, detail oriented environment with strict deadlines.  This department is a dynamic cross-functional team that provides solutions while keeping lines of communication open with advisors as well as a wide range of LPL departments. 

Coaching (at least 50% of day)
•Act as a subject matter expert on operational policies and procedures.
•Provide coaching and feedback on an ongoing basis to employees.  If needed, resolve employee conflicts.
•Evaluate and conduct 1 on 1 sessions on a monthly basis.
•Provide problem solving support to staff
•Monitor and analyze department trends and errors to improve on training opportunities
•Ability to provide reliable, straightforward, personal attention to LPL associates as well as LPL clients


Preparation for coaching (10-25%)
•Calculate and Review employee individual performance stats
•Monitor team mailboxes to ensure completeness and on task
•Discuss performance issues and successes with management
•Provide weekly status report of issues pertaining to department and/or employees


Non-Coaching (10-25%)
•Ability to work through escalations in a timely manner
•Understand and adhere to regulatory controls pertaining to all internal audits
•Communicating with outside vendors (Beta, OCC, BONY, DTC, DST etc) and attend any regular calls.
•Able to provide and discuss any Risk question pertaining to the department’s daily activity and attend weekly/monthly meetings as needed
•Ability to handle and assist in firm wide projects confidently


Qualifications:

•Minimum 3-5 years Broker-Dealer experience
•Bachelor’s degree in Finance or related field
•Prior management or leadership experience preferred
•Knowledge of Purchase and Sales (P&S), Settlement’s functions and mutual fund operations
•Knowledge of mutual fund, equities, options, fixed income, metals and alternative investment securities
•Experience with BONY, DTC and OCC preferred
•Beta experience preferred
•Series 7 preferred or series 99 required (can achieve within 120 days)
•MS Office Required
•Excellent verbal and written communication skills to interact effectively with internal and external contacts
•Ability to multi task in a fast paced environment and have strong decision making skills
•Excellent analytical and problem solving skills



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 Charlotte, 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 1996-2016, based on total revenue.

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 Charlotte, 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 1996-2016, based on total revenue.

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