Sr. Ops Specialist

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The Cash Control Ops Specialist will be responsible for monitoring Cash Control processes for both quality and risk. The individual will review checks, wires, ACH’s, deposits, and journals for quality. They will also review transactions to determine approval based on funds availability. During the review of the Cash Management processes, the specialist will also be responsible for identifying, stopping and escalating items processed that are not in line with the firms policies and procedures.

Responsibilities:

• Process Review- Review checks, wires, ACH’s, deposits, and journals for Quality, Risk, and to mitigate fraud. Daily Task must be completed in a deadline driven environment
• Report Review- Reviewing reports to confirm that items are being processed in conjunction with the firms policies and procedures
• Continuous Learning- Keeping up to date on new processes and controls, actively participating in team huddles and monthly department and other meetings
• Verification of Deposits- Review for Quality, Risk, and to mitigate fraud
• Confirmation Letter Review- Review for Quality, Risk, and to mitigate fraud
• Complete Database, Documentum, Siebel, items upon review- Maintain required daily SLA objectives

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree, preferably in Finance or related field
• 2+ years experience general brokerage industry knowledge
• Proficient with Microsoft Excel, Word, and Outlook

• Ability to work in a cross-functional team and multi-task in a fast paced deadline driven environment
• The ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk
• Communication skills, both written and oral, and willingness to speak up, talk to advisors and stakeholders
• Analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives

• SIE certification, S7 or S99 preferred
• Refinitiv/BETA experience

$17.23-$28.72/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!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26