Sr. Ops Specialist

The Sr. Ops Cash Control Specialist will monitor 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 cash management process review, the specialist will also be responsible for identifying, stopping, and escalating items processed that are not in line with the firm's policies and procedures.

Essential Functions:

• Process Review- Review checks, wires, ACH’s, deposits, and journals for Quality, Risk, and mitigate fraud. Daily Task must be completed in a deadline-driven environment
• Error Tracking- Logging, tracking, and reporting of errors and communication escalations or suspicious activity.
• Report Review- Reviewing reports to confirm that items are being processed in conjunction with the firm's policies and procedures
• Continuous Learning- Keeping up to date on new processes and controls, actively participating in daily huddles and monthly department and other meetings.

Other Job Duties:

• DTC Review, Transfer and Ship, and 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 Required: College Degree
• Minimum Experience Required: 1-2 years general brokerage industry knowledge, previous Customer Service experience, and must have the ability to work a shift between the hours of 7 am and 7 pm.
• Licenses/Certifications Preferred: FINRA Series 7/66

Software/Systems Skills Required/ Preferred:
1.Microsoft Office package
2.BETA
3.Documentum
4.Siebel

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.

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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 @lpl.com 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.