Lead Operations Specialist - Mutual Fund Trade Corrections (Settlements)

Job Overview The Lead Operations Specialist is a key role in brokerage operations acting as a tenured and senior processing-level subject‑matter expert. Within the Mutual Fund Trade Corrections department, responsibilities include processing and validating cash and securities transactions, reconciling accounts, answering questions from internal and external clients, and producing daily reports. The Lead Operations Specialist focuses heavily on driving team success, acting as a guide and resource in the subject‑matter area. Responsibilities Collaborate with management and team analysts to complete regularly cadenced key controls and oversee non‑key controls performed by junior colleagues. Lead weekly team huddles, balancing engagement and information. Assist junior colleagues with all aspects of trade correction processes, serving as a trusted resource. Review accounts and perform reconciliations to ensure compliance with corporate and regulatory policies; reconcile suspense accounts and validate transactions. Work with mutual fund sponsors and third‑party vendors to request, process, and follow up on trade corrections performed in client accounts. Communicate effectively with advisors, mutual fund sponsors, and other operational groups to resolve account discrepancies. Field escalated emails and calls, providing top‑level customer service while maintaining a risk‑averse approach that protects clients and the business. Recognize issues, problems, or opportunities and determine whether action is needed; resolve breaks. Collaborate and recommend solutions to address business challenges. Requirements 3+ years of experience working in the financial industry. Series 99 license required. Strong collaborators who deliver exceptional client experiences in fast‑paced, team‑oriented environments. Commitment to integrity and to helping clients succeed. Creativity, continuous improvement, and teamwork skills. Core Competencies Excellent time‑management skills. Ability to multitask across multiple operational processes and data input platforms. Proficiency in Microsoft Office (Word, Excel, Access, Outlook). Excellent data entry skills (numeric and alpha). Strong email communication and organization skills. Client‑first customer service mindset. Strong collaboration skills; team engager and promoter. Risk‑averse and diligent. Attention to detail and problem‑solving skills. Preferences Experience with BETA, Dynamics, and Excel. Team lead experience preferred. Prior experience working with mutual funds. Knowledge of SEC and FINRA regulations pertaining to financial operations. BA/BS degree in Business, Finance, or Economics (or equivalent work experience). Pay Range $20.85–$34.71 per hour. Actual base salary varies based on relevant skills, prior experience, education, performance, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Benefits In addition to competitive pay, the position offers a comprehensive benefits package that supports work, home, and play—including retirement matching, health insurance, stock options, paid time off, and volunteer time off. EEO Statement Principals only. EOE. #J-18808-Ljbffr LPL Financial