Cash Management Operations Manager

2 weeks ago

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

The Cash Management Operations Manager - Margin is responsible for leading a team of associates and overseeing margin processes for quality, adherence to risk and regulatory requirements when reviewing and approving client and business partner transactions. We are seeking a candidate with previous banking and/or broker-dealer experience, specifically in margin operations. The ideal candidate will need to aid in the design, implementation, and ongoing support of various projects and process improvements activities. This position requires a strong leader who can identify, develop, and lead a diverse team responsible for delivering on our Mission and Values.

Responsibilities:
  • Responsible for the oversight of the team and activities of regulating trading in cash accounts and review of margin policies.
  • Provide ongoing support, coaching, feedback, and developmental opportunities to address team members' needs in order to engage them and help them be more effective and successful.
  • Drive a performance management culture to ensure associates are able to meet organizational goals.
  • Support in creation, modification, implementation, and oversight of controls, risk mitigation tactics, and strategies.
  • Creates and supports 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 possible through operational and service excellence delivery.
  • Create and foster partnerships across the organization to support and meet shared objectives.
  • Handle escalations and inquiries by Service partners, Advisors, and key business partners.
Requirements:
  • 3-5 years of experience in the financial services industry preferred or prior supervisory experience required.
  • 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 to 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 pro-active approach to solving and preventing problems.

Pay Range: $72,500.00 - $120,800.00
Actual 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 offer.

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