Cash Management Operations Manager

2 months ago

Knoxville, Tennessee, United States LPL Financial Full time
Job Overview:

The Cash Management Operations Manager - Margin is a critical role within LPL Financial, responsible for leading a team of associates and overseeing margin processes to ensure quality, adherence to risk and regulatory requirements. We are seeking a seasoned banking and/or broker-dealer professional with experience in margin operations to join our team.

Responsibilities:
  • Oversee the team and activities related to regulating trading in cash accounts and reviewing margin policies.
  • Provide ongoing support, coaching, and feedback to team members to address their needs and help them be more effective and successful.
  • Drive a performance management culture to ensure associates meet organizational goals.
  • Support the creation, modification, implementation, and oversight of controls, risk mitigation tactics, and strategies.
  • Create and foster a team culture of continuous improvement by identifying new and better ways to do things.
  • Understand and interpret rule modifications in an ever-changing regulatory environment and understand the business needs of LPL, our advisors, and other departments.
  • Deliver an exceptional advisor and client experience through operational and service excellence delivery.
  • Create and foster partnerships across the organization to support and meet shared objectives.
  • Handle escalations and inquiries from Service partners, Advisors, and key business partners.
Requirements:
  • 3-5 years of experience in the financial services industry, preferably with supervisory experience.
  • Bachelor's degree or equivalent business experience required.
  • Proficient technical skills, including knowledge of Microsoft applications.
  • Experience with rules pertaining to Regulation T with Cash and Margin Accounts.
  • SIE and Series 7 or 99 license (License must be acquired within 90 days of employment).
Core Competencies:
  • Ability to work independently in a fast-paced environment with multiple priorities.
  • Ability to work with and communicate effectively with various levels throughout the organization.
  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects.
  • Experience with Lean Problem Solving and other Lean methodologies.
  • Excellent verbal and written communication skills.
  • Strong analytical and influencing skills with the ability to develop creative solutions for complex problems.
  • Strong attention to detail with a proactive approach to solving and preventing problems.

LPL Financial offers a highly competitive Total Rewards package, including 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 offer.

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