Operations Team Lead - Settlements

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview The Lead Operations Specialist is a key role in brokerage operations acting as a tenured and senior processing-level Subject Matter Expert at the firm. Within the Settlements Department this includes signing off on numerous daily reports inclusive of multiple controls, assisting management with oversight and reporting on firm-level activity, fielding escalated reviews and advisor-facing interactions, and acting as a voice of confidence with the team while continuing to become a multi-faceted subject matter expert. Responsibilities Communicate complex issues both in writing and verbally to management and internal/external vendors and customers Knowledge in balancing, reconciling and researching breaks related to our Depositories, Trade Settlement and Transfers Documents quality issues, performance measures and quality improvements for management review Generating reports and tracking trend numbers Coordination with internal and external team members to implement or support ongoing processes Lead Weekly Team Huddles, focusing on a balance of Engagement and Information Work with Management and Team Analysts to complete regularly cadenced key controls for the department, and process as well as provide oversight on non-key controls being processed by junior colleagues Organization and timeliness are key 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, 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. Requirements Minimum 1-3 years experience in wealth management operations FINRA Registration, or the ability to obtain within 90 days Experience with Microsoft Applications, particularly Excel, Word, PowerPoint Core Competencies Strong analytical and problem-solving skills with a keen attention to detail Excellent oral and written communication skills Ability to perform under pressure with competing deadlines Preferences Bachelor’s Degree from an Accredited University Knowledge of SEC and FINRA Regulations pertaining to Financial Operations Pay Range & Benefits Pay Range: $20.85-$34.71/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. 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 leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run thriving businesses. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Application & Interview Information 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 View phone number on click.appcast.io. LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue. Want to learn more about the benefits of working at LPL? We Are LPL Benefits Culture Social Responsibility #J-18808-Ljbffr LPL Financial LLC