Operations Specialist

LPL Financial•Fort Mill, SC

2d•Onsite

About The Position

The Ops Specialist at LPL Financial Corp plays a crucial role in ensuring the smooth and efficient operation of various back-office functions. This individual will contribute to daily operational tasks, support critical business processes, and help maintain high service standards for our advisors and clients.

Requirements

1+ years of experience in financial services operations, preferably within a brokerage firm or investment advisory environment.
Excellent analytical and problem-solving skills with a keen eye for detail.
Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
Exceptional written and verbal communication skills.
Demonstrated ability to prioritize tasks and manage multiple responsibilities effectively.

Nice To Haves

Experience with Smartsheets (data reconciliation), Documentum (document management), and Captiva (imaging system)
Experience using Sharepoint for tracking data
Strong understanding of financial products, services, and industry regulations in a banking environment.
Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
Bachelor's degree in Finance, Business Administration, or a related field, or equivalent work experience.

Responsibilities

Process and reconcile daily transactions, including but not limited to trade processing, account maintenance, and cashiering activities.
Review and validate client requests and documentation for accuracy and completeness, adhering to regulatory guidelines and internal policies.
Investigate and resolve operational discrepancies or issues, collaborating with internal departments and external partners as needed.
Generate and distribute various operational reports, ensuring timely and accurate delivery.
Participate in special projects and initiatives aimed at improving operational efficiency and enhancing the client experience.
Maintain a thorough understanding of LPL Financial's products, services, and operational procedures.
Provide excellent customer service to internal stakeholders and external advisors, addressing inquiries and concerns professionally.
Ensure compliance with all relevant industry regulations (e.g., FINRA, SEC) and internal compliance policies.