Senior Operations Specialist, Purchasing & Sales

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.

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.

• 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

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.

• 1+ years of operations experience in the financial services space

• 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

• 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

$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.

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.

LPL will only communicate with a job applicant directly from a 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.