Team Lead - Settlements

LPL Financial•Tempe, AZ

7d•Onsite

About The Position

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.

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
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

Nice To Haves

Bachelor’s Degree from an Accredited University
Knowledge of SEC and FINRA Regulations pertaining to Financial Operations

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.