**Overview:** LPL Financial is seeking a highly skilled Senior Operations Analyst to join our Mutual Funds Operations team. As a key member of our team, you will be responsible for processing trade corrections, settlement reconciliation, and analyzing business requirements to ensure compliance with regulatory policies and procedures. **Responsibilities:**
• Manage daily processing tasks
• Reconcile and analyze reports, responsible for daily quality control, managing error rates, exception review processing, and daily reporting
• Analyze suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures
• Review complex escalations and operational problems, summarize issues, and communicate key information to communicate with advisors
• Communicate with trading, compliance, legal, and operations departments as well as external counterparties to resolve issues
• Research and process service requests created by service teams
• Support and contribute to the successful execution of projects and initiatives that support LPL's priorities
• Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure
• Develop risk-based mitigation approaches that may yield changes to functions and departmental requirements
• Understand and interpret rule modifications in an ever-changing regulatory environment and understand the business needs of LPL, our advisors, and other departments
• Develop quality service standards and processes to create a consistent service experience
• Handle escalations by both the Service Center and Advisors
• Other assignments as required by Management
• *Qualifications:**
• 3+ years of industry experience (preferably corporate actions) in Operations
• 2+ years of trading and/or corrections experience
• Ability to work independently in a fast-paced environment with multiple priorities
• Ability to work with and communicate effectively to various levels throughout the organization
• Excellent verbal and written communication skills
• MS Excel experience (macros and vlookups) preferred
• Project management and escalation leadership experience preferred
• SQL, Alteryx, VBS experience preferred
• Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
• Bachelor Degree preferred
• SIE and either Series 7 or Series 99 preferred
• *Benefits:**
• Competitive pay range of $26.39-$43.99/hour
• Comprehensive Total Rewards package, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more
• Opportunities for career growth and development
• Collaborative and innovative work environment
• Access to cutting-edge technology and resources
• Flexible work arrangements and work-life balance
Apply Now
Apply Now