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Sr. Operations Specialist - P&S/Settlements

Job ID: R-001234 Date posted: 11/13/2017 Primary Location CA-San Diego

Our Sr. Operations Specialist in the Settlements/Purchase & Sales department will be responsible for basic financial and/or regulatory functions with a focus on balancing, reporting and researching exception items that settle through various depositories and trading platforms.  The ideal candidate should possess excellent data entry skills (both numeric and alpha) and be accurate and timely.  They 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. 

Responsibilities:

  • Responsible for balancing, reconciling and comparing option, equity and fixed income trade breaks.
  • Responsible for reconciling fails to receive/deliver for equity and fixed income metals, alternative investments and foreign securities.
  • Processing trade corrections for equity and fixed income transactions
  • Generating reports and tracking trend numbers
  • Processing of disposition worthless security forms
  • Working with Equity and Fixed Income Trading, Contra Dealers, Settlements, 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.

Qualifications:

  • Bachelor's degree required
  • 1-2 years of financial service experience
  • Series 99 preferred
  • BETA required
  • Word, Excel, Access, Outlook,  Siebel
  • Knowledge of DTC, ACT and BONY a plus
  • Prior experience in processing Corporate Actions, Dividends or Settlements with a Securities Brokerage, Bank Trust or Transfer Agency organization

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 Fort Mill, 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 1996-2017, based on total revenue.

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