Margin Operations Manager

2 weeks ago


Tempe, Arizona, United States LPL Financial Full time
Job Overview:

We are seeking a dynamic leader for the role of Margin Operations Manager. This position is pivotal in overseeing a dedicated team and ensuring the integrity of margin processes while adhering to risk and regulatory standards. The ideal candidate will possess a background in banking or broker-dealer operations, particularly in margin management.

Key Responsibilities:

  • Lead and supervise a team responsible for managing trading activities in cash accounts and reviewing margin policies.
  • Provide continuous support, coaching, and feedback to enhance team performance and engagement.
  • Foster a culture of performance management to help associates achieve organizational objectives.
  • Assist in the development and implementation of controls and risk mitigation strategies.
  • Promote a culture of continuous improvement by identifying innovative solutions to operational challenges.
  • Interpret regulatory changes and align them with the business needs of LPL Financial and its advisors.
  • Ensure exceptional service delivery to advisors and clients through operational excellence.
  • Build and maintain collaborative relationships across the organization to achieve shared goals.
  • Address escalations and inquiries from service partners and advisors effectively.

What We Are Looking For:

The successful candidate will have a strong customer service orientation, with a financial services background and a keen attention to detail. They should possess excellent problem-solving abilities and communication skills, contributing positively to a collaborative team environment.

Qualifications:

  • 3-5 years of experience in the financial services sector or prior supervisory experience.
  • Bachelor's degree or equivalent business experience.
  • Proficient in Microsoft applications and familiar with Regulation T related to Cash and Margin Accounts.
  • SIE and Series 7 or 99 license (to be obtained within 90 days of employment).

Core Competencies:

  • Ability to thrive in a fast-paced environment with multiple priorities.
  • Strong communication skills across various organizational levels.
  • Willingness to learn and understand the interconnectedness of the Financial Services industry.
  • Experience with Lean methodologies and problem-solving techniques.
  • Proactive approach to identifying and resolving issues.

Compensation:

The pay range for this position is competitive and varies based on skills, experience, and location. LPL Financial offers a comprehensive benefits package designed to support your professional and personal success.

Why Join LPL Financial?

At LPL Financial, we are committed to providing objective financial guidance. We offer a collaborative work environment that fosters creativity and growth, supported by a responsive leadership team. Join us in making a meaningful impact in the financial services industry.



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