Senior Operations Specialist, Purchasing & Sales

LPL Financial•Fort Mill, SC

2d•$17 - $29

About The Position

The Senior Operations Specialist in Purchases and Sales within Clearing Operations is a team player responsible for financial and/or regulatory functions to ensure compliance with all prescribed internal policies and regulatory practices. Additionally, this role works with other departments and is responsible for reviewing client accounts, answering questions from internal and external clients, escalating items to management, and follow-up on pending items in a timely manner.

Requirements

1+ years of operations experience in the financial services space
Strong verbal and written communication skills
Strong time management skills
Adaptability
Maximizes knowledge and skills gained in learning activities by applying them to daily responsibilities
Work independently as well as function as part of a team
Self-learner and self-motivated
Proficient in Microsoft Office Suite
Ability to multi-task and follow through on projects and tasks
Strong attention to detail with a pro-active approach to solving and preventing problems

Nice To Haves

Securities registrations desirable but not required (SIE or Series 99 or 7 Licenses)
BA/BS degree in Business, Finance, or Economics (or equivalent work experience)
Refinitiv/BETA experience

Responsibilities

Balancing, reconciling, and comparing option, equity, and fixed income trade breaks
Facilitating trade clearance and settlement between contra firms, DTCC, NSCC, and market centers
Collaborating with internal trade desks and external firms to resolve breaks
Processing trade corrections for equity, UIT, and fixed income transactions
Reconciling and processing Option Exercises and Assignments
Generating regulatory and collateral reports
Tracking volume metrics
Monitoring internal and external requests via departmental mailbox
Reviewing policies and procedures semi annually
Training teammates on core processes