Sr. Ops Specialist

About the role

LPL Financial is seeking a Cash Control Ops Specialist to monitor Cash Control processes for both quality and risk. The individual will review checks, wires, ACH’s, deposits, and journals for quality and determine approval based on funds availability. They will identify, stop, and escalate items processed that are not in line with the firm’s policies and procedures.

Responsibilities

• Process Review: Review checks, wires, ACH’s, deposits, and journals for quality, risk, and to mitigate fraud in a deadline-driven environment.
• Report Review: Review reports to confirm that items are being processed in conjunction with the firm’s policies and procedures.
• Continuous Learning: Stay up to date on new processes and controls, actively participating in team huddles and monthly department meetings.
• Verification of Deposits: Review for quality, risk, and to mitigate fraud.
• Confirmation Letter Review: Review for quality, risk, and to mitigate fraud.
• Database & System Updates: Complete Database, Documentum, and Siebel items upon review and maintain required daily SLA objectives.

Requirements

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

Core Competencies

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

Preferences

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

Pay

The pay range is $17.23–$28.72 per hour. Actual base salary varies based on factors including relevant skill, prior experience, education, internal peer salaries, demonstrated performance, and geographic location. LPL’s Total Rewards package includes 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.