Financial Services Operations Manager

4 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 assist 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.
  • Create and support 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.

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