SR. OPS SPECIALIST, STOCK RECORDS

LPL Financial (Nasdaq : LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.

Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide.

We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.

At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice.

And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview :

The Stock Record team reconciles books and records positions per regulatory requirements of a clearing firm. The team also processes share class.

The ideal candidate will need to aide in the daily processing, implementation and ongoing support for break reconciliation.

If applicable to the candidates product experience candidate could also help with the transactions listed above. The candidate will also need to write and edit procedures for the team, working closely with Risk Management on their upkeep.

The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.

Responsibilities :

• Reconciliation reports run by uploading data and identifying issues to reconcile and fix.
• Basic Access database knowledge to pull information from Books and Records system, BODs.
• Creative excel analysis with Vlookup, countif and other excel formulas to look at data ad hoc.
• Critical thinking and analysis.
• Compliance and Risk assessment mind set.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements :

Audit and regulatory experience.

Core Competencies :

• Excellent written and verbal communication
• Exceptional Organizational skills and self motivation. Ability to organize and work on your own with some guidance.
• Ability to train and coach team members.
• Problem solving new issues.
• Self-learner and self-motivated
• Work experience with mutual funds, equity, fixed income and alternative investments.
• Ability to converse and communicate with Transfer Agents, Sponsors, financial services vendors like Broadridge, SS&C and Cognizant.

Preferences :

• Financial Services & Operations, or Advisor Client Services Experience
• Excel comfort and experience with formulas
• Excel Skills : Vlookup, countif and other basic excel formulas
• Product literacy
• VBA and / or SQL
• Data Analyst

Pay Range : $16.73-$27.88 / hour

$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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.

We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.

We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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Join the LPL team and help us make a difference by turning life's 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 applicant's bank or credit card.

Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.