LPL Financial
Overview
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover whats possible with LPL Financial. Job Overview
The Senior Operations Specialist in Purchases and Sales within Clearing Operations is a team player responsible for financial and/or regulatory functions to ensure compliance with all prescribed internal policies and regulatory practices. Additionally, this role works with other departments and is responsible for reviewing client accounts, answering questions from internal and external clients, escalating items to management, and follow-up on pending items in a timely manner. Responsibilities Balancing, reconciling, and comparing option, equity, and fixed income trade breaks Facilitating trade clearance and settlement between contra firms, DTCC, NSCC, and market centers Collaborating with internal trade desks and external firms to resolve breaks Processing trade corrections for equity, UIT, and fixed income transactions Reconciling and processing Option Exercises and Assignments Generating regulatory and collateral reports Tracking volume metrics Monitoring internal and external requests via departmental mailbox Reviewing policies and procedures semi annually Training teammates on core processes
What are we looking for?
Were 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
1+ years of operations experience in the financial services space
Core Competencies
Strong verbal and written communication skills Strong time management skills Adaptability Maximizes knowledge and skills gained in learning activities by applying them to daily responsibilities Work independently as well as function as part of a team Self-learner and self-motivated Proficient in Microsoft Office Suite Ability to multi-task and follow through on projects and tasks Strong attention to detail with a pro-active approach to solving and preventing problems
Preferences
Securities registrations desirable but not required (SIE or Series 99 or 7 Licenses) BA/BS degree in Business, Finance, or Economics (or equivalent work experience) Refinitiv/BETA experience
Pay Range
$16.73-$27.88/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, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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. 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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nations leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL?
Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission:
We are one team on one missiontaking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work:
Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning lifes 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (855) 575-6947. EAC1.22.25 #J-18808-Ljbffr
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover whats possible with LPL Financial. Job Overview
The Senior Operations Specialist in Purchases and Sales within Clearing Operations is a team player responsible for financial and/or regulatory functions to ensure compliance with all prescribed internal policies and regulatory practices. Additionally, this role works with other departments and is responsible for reviewing client accounts, answering questions from internal and external clients, escalating items to management, and follow-up on pending items in a timely manner. Responsibilities Balancing, reconciling, and comparing option, equity, and fixed income trade breaks Facilitating trade clearance and settlement between contra firms, DTCC, NSCC, and market centers Collaborating with internal trade desks and external firms to resolve breaks Processing trade corrections for equity, UIT, and fixed income transactions Reconciling and processing Option Exercises and Assignments Generating regulatory and collateral reports Tracking volume metrics Monitoring internal and external requests via departmental mailbox Reviewing policies and procedures semi annually Training teammates on core processes
What are we looking for?
Were 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
1+ years of operations experience in the financial services space
Core Competencies
Strong verbal and written communication skills Strong time management skills Adaptability Maximizes knowledge and skills gained in learning activities by applying them to daily responsibilities Work independently as well as function as part of a team Self-learner and self-motivated Proficient in Microsoft Office Suite Ability to multi-task and follow through on projects and tasks Strong attention to detail with a pro-active approach to solving and preventing problems
Preferences
Securities registrations desirable but not required (SIE or Series 99 or 7 Licenses) BA/BS degree in Business, Finance, or Economics (or equivalent work experience) Refinitiv/BETA experience
Pay Range
$16.73-$27.88/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, LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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. 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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nations leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL?
Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission:
We are one team on one missiontaking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work:
Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning lifes 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (855) 575-6947. EAC1.22.25 #J-18808-Ljbffr