LPL Financial
Senior Operations Specialist, Purchasing & Sales
LPL Financial, Fort Mill, South Carolina, United States, 29715
Senior Operations Specialist, Purchasing & Sales
4 days ago Be among the first 25 applicants
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 what’s 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. This role works with other departments, reviews client accounts, answers questions from internal and external clients, escalates items to management, and follows 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? 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
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 $17.23–$28.72 per hour. Actual base salary varies based on relevant skill, prior experience, education, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest‑growing wealth management firms in the U.S., supporting over 32,000 financial advisors and 1,100 financial institutions in managing approximately $2.3 trillion in assets. LPL provides advisor affiliation models, investment solutions, fintech tools, and practice management services to enable advisors and institutions to thrive.
Interview Information LPL will only communicate with a job applicant directly from a
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any payment from the applicant, nor information regarding an applicant’s bank or credit card.
For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575‑6947. EOE.
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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 what’s 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. This role works with other departments, reviews client accounts, answers questions from internal and external clients, escalates items to management, and follows 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? 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
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 $17.23–$28.72 per hour. Actual base salary varies based on relevant skill, prior experience, education, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest‑growing wealth management firms in the U.S., supporting over 32,000 financial advisors and 1,100 financial institutions in managing approximately $2.3 trillion in assets. LPL provides advisor affiliation models, investment solutions, fintech tools, and practice management services to enable advisors and institutions to thrive.
Interview Information LPL will only communicate with a job applicant directly from a
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any payment from the applicant, nor information regarding an applicant’s bank or credit card.
For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575‑6947. EOE.
#J-18808-Ljbffr