Operations Specialist

1 week ago

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

The Lead Operations Specialist is a key role in brokerage operations acting as a senior processing-level Subject Matter Expert at LPL Financial. Within the Mutual Fund Trade Corrections department, this includes processing and validation of cash and securities transactions, reconciling accounts, answering questions from internal and external clients, and daily reporting.

Responsibilities
  • Collaborating with management and team analysts to complete regularly cadenced key controls for the department, and processing as well as overseeing non-key controls being processed by junior colleagues.
  • Leading weekly team huddles, focusing on a balance of engagement and information.
  • Assisting junior colleagues on the team with all aspects of the trade correction processes, acting as a trusted resource with a wide-ranging skill set in the subject matter.
  • Reviewing accounts and performing reconciliations to ensure compliance with corporate and regulatory policies and procedures; reconciling suspense accounts and validating transactions.
  • Working with Mutual Fund sponsors and third party vendors to request, process, and follow up on trade corrections performed in client accounts.
  • Communicating effectively with advisors, mutual fund sponsors, and other operational groups to resolve various account discrepancies.
  • Fielding escalated emails and calls, providing top-level customer service while maintaining a risk-averse approach that will protect both end clients and the business.
  • Recognizing issues, problems, or opportunities and determining whether action is needed; fixing breaks.
  • Collaborating and making recommendations on how to solve business challenges.
Requirements
  • 3+ years of experience working in the financial industry
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Adept at building strong relationships and engendering trust with business partners and customers
  • Ability to multi-task and follow through on projects and tasks
  • Ability to work with and communicate effectively to various levels of management throughout the organization, up to and including executive leadership.
  • Microsoft Office suite, notably; Outlook, Access, PowerPoint and Excel (VBA) as well as Beta
Preferences
  • BA/BS degree in Business, Finance, or Economics (or equivalent work experience)
  • Refinitiv/BETA experience
  • Knowledge of SEC and FINRA regulations pertaining to financial operations
  • Prior experience working with mutual funds
  • Securities registrations desirable but not required (SIE, Series 99 or 7 Licenses)
Core Competencies
  • Excellent time management skills
  • Ability to multitask with multiple operational processes and multiple data input platforms
  • Proficiency in Microsoft Office (Word, Excel, Access, Outlook)
  • Excellent data entry skills (numeric and alpha)
  • Strong email communication and organization skills
  • Client-first, customer service mindset
  • Strong collaboration skills; team engager and promoter
  • Risk-averse and diligent
  • Strong attention to detail and problem-solving skills
Pay Range

$20.23-$33.71/hour 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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