Sr Ops Specialist

4 weeks ago

Tempe, Arizona, United States LPL Financial Full time

Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

We are seeking a candidate who ideally has previous experience in the financial services industry, or with a background in corporate action events, including voluntary and mandatory reorg events, dividends (mutual fund or equity), proxy, and/or shareholder communications. The Sr Operations Specialist responsibilities may include reviewing and scrubbing reorg announcements, processing of cash or stock allocations, exception processing review and analysis, and account reconciliation. The ideal candidate will handle inbound calls and team mailboxes to support inquiries from advisors, internal and external parties. Strong interpersonal, organization, and communication skills (written and verbal) are also needed to be effective in the role.

Responsibilities:

  • Review and analyze reports, exceptions, DRIP program, and validation of transactions. Responsible for daily quality control, exception review processing and daily reporting.
  • Review dividend inventory and fractional accounts to ensure they are liquidated per industry guidelines.
  • Review downgraded or new corporate action events, summarize terms and key information to communicate with advisors for domestic and foreign securities.
  • Reconcile suspense and clearance accounts, resolving breaks, and security and suspense transaction reviews adhering to established quality control measures and procedures.
  • Effectively and confidently communicate with other internal departments as well as external 3rd parties including, but not limited to, contra brokers, transfer agents, issuers, vendors, and partners.
  • Support and contribute toward the successful execution of projects and initiatives that support LPL's priorities.
  • Handle inbound calls and the team mailbox, research and reply to inquiries from advisors and service team. Research and process service requests that are created by service teams.
  • Share pain points with leadership and business partners to find solutions and pursue process improvements.
  • Exercise superior judgement in keeping manager informed about issues.
  • Developing into a subject matter expert (SME) on operational policies and procedures.
  • Other assignments as required by Management.

Requirements:

  • Two years of financial and/or brokerage industry experience or related educational background
  • Proficient in Microsoft applications, particularly Outlook and Excel

Core Competencies:

  • Effective and proactive communicator with strong written and verbal communication skills in dealing with advisors, internal and external parties, vendors, and different levels of management
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines
  • Demonstrates accuracy, attention to detail, and thoroughness in performing work assignments
  • Proficient with use of critical thinking and problem-solving skills
  • Develops positive working relationships, collaborates with others, and works well in a team setting

Preferences:

  • BA/BS (or equivalent work experience)
  • FINRA Licenses a plus

Pay Range:

$16.73-$27.88/hourActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offerWhy 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

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