Sr Ops Specialist - SettlementsApply Job ID: R-006187 Date posted: 04/10/2019 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, foreign securities, DTC and BONY.
- Generating reports and tracking trend numbers
- Working with Contra Dealers, P&S, Margins, ACATS, Compliance and LPL Advisors at all levels.
- Monitoring departmental mailbox and Siebels
- 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.
- Bachelor's degree required
- 1-2 years of financial service experience
- Series 99 preferred
- BETA required
- Word, Excel, Access, Outlook, Siebel
- Knowledge of DTC and BONY preferred
- Prior experience in processing Corporate Actions, Dividends or Settlements with a Securities Brokerage, Bank Trust or Transfer Agency organization
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.
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.