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Sr Ops Specialist

Job ID R-001424 Date posted 09/12/2017

Sr Ops Specialist will be responsible for reconciling accounts, daily reports, process and validation of cash and securities transactions.  Additionally while performing basic financial and/or regulatory functions, 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 multi task with multiple operational processes and multiple data input platforms.

Sr Ops Specialist will be asked to assist with the daily review, quality control and approval of transactions for both onshore and offshore teams.

The ideal candidate will possess the following skills/ perform the following duties:

1. Analytical skills to review accounts and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures as well as reconcile suspense accounts and validate transactions.

2. Answer inbound calls from the Service360 teams, General Service Center, and CCS Service Center. Research and process service requests that are created by Service360 teams, General Service Center, and CCS Service Center

3. Responsible for daily quality control, managing error rates, exception review processing and daily reporting.Other duties could also include coordination between onshore and offshore teams.

Minimum of 2-3 years of operations experience

Series 99 Preferred

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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  • Service and Operations, San Diego, California, United StatesRemove