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Sr Operations Specialist, Performance & Data Recon

Job ID: R-005631 Date posted: 01/29/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Ops Reconciliation Specialist is a team member responsible for supporting investment transaction accounting, position reconciliation for the purpose of accurate reporting.  The reporting includes advisor/client reporting, firm-level financial reporting and risk reporting.  The specialist is knowledgeable in transactions, securities, pricing, reconciling and account valuation with the use of various systems including Portia, BETA, Access, Excel and other internal supporting applications.  The specialist is experienced with investment data and able to resolve discrepancies by working with internal business units and external parties such as mutual fund companies, alternative investment sponsors, variable annuity carriers and DTCC. 


  • Transaction accounting to analyze investment activity exceptions for proper posting into the portfolio accounting systems.
  • Perform cash and positions reconciliation which includes identifying, analyzing and correcting transaction to position breaks.
  • Data flow management and quality control to ensure all investment data is processed into downstream systems.
  • Validating corporate actions transaction posting
  • Work effectively and efficiently with other business units (internal and external) to resolve investment data related issues
  • Troubleshoot reconciliation and performance issues reported by advisors, including BETA and Portia
  • Gather metrics and create reports to support trend analysis and RPMs
  • Summarize, expense and report unresolved discrepancies to Risk Management and the LPL Finance department.
  • Report expense figures in the FOCUS filing with FINRA pursuant to SEA Rule 17a-5 and SEA Rule 15c3-3 required of all broker dealers. 
  • Assist with projects to develop both client facing and internal applications
  • Update and maintain department procedures


  • 1-3 years in the brokerage, accounting or financial services industry with transaction accounting and reconciliation experience preferred
  • Strong analytical and problem solving skills with a keen attention to detail
  • Knowledgeable of a wide range of financial investment vehicles including but not limited to Mutual Funds, Fixed Income Products, Options, Common Stocks and Variable Annuities.
  • Advanced skills with Excel and Access and the ability to use these tools to assist with reconciliation  
  • Working knowledge of Word, Outlook, Visio and PowerPoint
  • Basic understanding of time and money weighted performance calculations
  • Excellent verbal and written communication skills
  • Ability to perform under pressure to meet deadlines
  • Strong customer service skills
  • Bachelor's degree or equivalent preferred
  • FINRA licensing not requirement but a plus

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove
  • Service and Operations, San Diego, California, United StatesRemove