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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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Sr Ops Specialist

Job ID: R-018724 Date posted: 11/22/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Sr .Ops Specialist

The Cash Control Sr. Ops Specialist will be responsible for monitoring Cash Control processes for both quality and risk. The individual will review checks, wires, ACH’s, deposits, and journals for quality. They will also review transactions to determine approval based on funds availability. During the review of the Cash Management processes, the specialist will also be responsible for identifying, stopping and escalating items processed that are not in line with the firms policies and procedures.

Essential Functions
- Process Review- Review checks, wires, ACH’s, deposits, and journals for Quality, Risk, and to mitigate fraud. Daily Task must be completed in a deadline driven environment
- Report Review- Reviewing reports to confirm that items are being processed in conjunction with the firms policies and procedures
- Continuous Learning- Keeping up to date on new processes and controls, actively participating in team huddles and monthly department and other meetings

Other Job Duties
- Verification of Deposits- Review for Quality, Risk, and to mitigate fraud
- Confirmation Letter Review- Review for Quality, Risk, and to mitigate fraud
- Complete Database, Documentum, Siebel, items upon review- Maintain required daily SLA objectives
- Communication- Effectively communicate with teammates and management team to address issues and needs

Job Requirements
Minimum Education & Experience Required: College Degree or 1-2 years general brokerage industry knowledge
Licenses/Certifications Preferred: FINRA SIE/Series 99

Software/Systems Skills Required/ Preferred
-Microsoft Office package

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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