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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

Job ID: R-011493 Date posted: 01/04/2021 Primary Location CA-San Diego

The Senior Operations Specialist will be a member of the 3rd party risk management team, which is responsible for reviewing third-party distributions for funds availability, red flags, and special instructions. The senior operations specialist will also be responsible for performing a series of fraud /risk related tests and appropriately note the completion of checks. Provide outstanding service while acting as a resource to internal and external business partners handling escalated items, and assisting with information distribution. Specialists will be required to verify third party wire information directly with LPL clients. Members of the third party distribution team will need to be vigilant for potentially fraudulent activity to report to management and fraud investigation group.

What will you do?

  • Risk Review, Accuracy, Analysis, and Approval – 50% – Review, analyze, and approve checks, wires, ACH, DTC, and Accommodation Transfers and Journals transactions to ensure transactions conform to firm policies, procedures, and regulatory rules. Conduct due diligence as needed (e.g., media search results, copies of statements/check, results from internal system searches, etc.). Review and investigate potential suspicious activity as derived from a variety of systems. Contact advisors, clients, and other third-party institutions to research various transactions and ensure compliance with stated policies and procedures.

  • Risk-Based Reporting/Analysis 40% –Assist management with the generation and management of various risk-related reports. Accurately identify and record all financial impacts on issues worked. Conduct interviews of a highly sensitive nature with customers, advisors, and employees to determine facts. Investigate suspicious activity involving suspected money laundering or structuring of financial transactions to avoid government reporting requirements

  • Escalations/Training – 10% –Assist the team with policy/procedural related questions and provide assistance when necessary to help the completion of various requests and provide additional training if needed.

What does your success look like in the first 90 days?

You should have a working understanding of what we do here at LPL Financial. You will be able to look at information and process transfers.

What are we looking for?

The ideal candidate will have strong attention to detail, and be a team player with a positive attitude. The ideal candidate must be capable of communicating in a clear and professional tone. We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team-oriented, and can execute in a way that encourages creativity and continuous improvement.

What skills, experiences, and educations are required?

  • 2-5 years of experience in the brokerage, accounting, or financial services industry

  • Working knowledge of Microsoft products specifically, Excel, Word, and Access

  • Bachelor's degree preferred or Cash management, Customer Service,  or compliance experience

  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results

  • Licenses/Certifications: Series 7, 66 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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