Senior Operations Specialist, Purchasing & Sales

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. 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.

• 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 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/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

  At LPL, independence means that advisors and institution…