Operations Specialist
LPL Financial, Fort Mill, SC, United States
Job Overview
The Ops Specialist at LPL Financial Corp plays a crucial role in ensuring the smooth and efficient operation of various back-office functions. This individual will contribute to daily operational tasks, support critical business processes, and help maintain high service standards for our advisors and clients.
Responsibilities
Process and reconcile daily transactions, including trade processing, account maintenance, and cashiering activities.
Review and validate client requests and documentation for accuracy and completeness, adhering to regulatory guidelines and internal policies.
Investigate and resolve operational discrepancies or issues, collaborating with internal departments and external partners as needed.
Generate and distribute operational reports, ensuring timely and accurate delivery.
Participate in special projects and initiatives aimed at improving operational efficiency and enhancing the client experience.
Maintain a thorough understanding of LPL Financial’s products, services, and operational procedures.
Provide excellent customer service to internal stakeholders and external advisors, addressing inquiries and concerns professionally.
Ensure compliance with all relevant industry regulations (e.g., FINRA, SEC) and internal compliance policies.
Requirements
1+ years of experience in financial services operations, preferably within a brokerage firm or investment advisory environment.
Core Competencies
Excellent analytical and problem‑solving skills with a keen eye for detail.
Ability to work independently and collaboratively in a fast‑paced, deadline‑driven environment.
Exceptional written and verbal communication skills.
Demonstrated ability to prioritize tasks and manage multiple responsibilities effectively.
Preferences
Experience with Smartsheets, Documentum, and Captiva.
Experience using SharePoint for tracking data.
Strong understanding of financial products, services, and industry regulations in a banking environment.
Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
Bachelor’s degree in Finance, Business Administration, or a related field, or equivalent work experience.
Pay Range
$16.24–$27.04 per hour. Base salary may vary based on experience, education, and location. Total rewards include 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
EOE
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The Ops Specialist at LPL Financial Corp plays a crucial role in ensuring the smooth and efficient operation of various back-office functions. This individual will contribute to daily operational tasks, support critical business processes, and help maintain high service standards for our advisors and clients.
Responsibilities
Process and reconcile daily transactions, including trade processing, account maintenance, and cashiering activities.
Review and validate client requests and documentation for accuracy and completeness, adhering to regulatory guidelines and internal policies.
Investigate and resolve operational discrepancies or issues, collaborating with internal departments and external partners as needed.
Generate and distribute operational reports, ensuring timely and accurate delivery.
Participate in special projects and initiatives aimed at improving operational efficiency and enhancing the client experience.
Maintain a thorough understanding of LPL Financial’s products, services, and operational procedures.
Provide excellent customer service to internal stakeholders and external advisors, addressing inquiries and concerns professionally.
Ensure compliance with all relevant industry regulations (e.g., FINRA, SEC) and internal compliance policies.
Requirements
1+ years of experience in financial services operations, preferably within a brokerage firm or investment advisory environment.
Core Competencies
Excellent analytical and problem‑solving skills with a keen eye for detail.
Ability to work independently and collaboratively in a fast‑paced, deadline‑driven environment.
Exceptional written and verbal communication skills.
Demonstrated ability to prioritize tasks and manage multiple responsibilities effectively.
Preferences
Experience with Smartsheets, Documentum, and Captiva.
Experience using SharePoint for tracking data.
Strong understanding of financial products, services, and industry regulations in a banking environment.
Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
Bachelor’s degree in Finance, Business Administration, or a related field, or equivalent work experience.
Pay Range
$16.24–$27.04 per hour. Base salary may vary based on experience, education, and location. Total rewards include 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
EOE
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