Sr. Ops Specialist

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.

The Cash Control Ops Specialist will be responsible for monitoring Cash Control processes for both quality and risk. The individual will review checks, wires, ACH’s, deposits, and journals for quality. They will also review transactions to determine approval based on funds availability. During the review of the Cash Management processes, the specialist will also be responsible for identifying, stopping and escalating items processed that are not in line with the firms policies and procedures.

Process Review- Review checks, wires, ACH’s, deposits, and journals for Quality, Risk, and to mitigate fraud. Daily Task must be completed in a deadline driven environment Report Review- Reviewing reports to confirm that items are being processed in conjunction with the firms policies and procedures Continuous Learning- Keeping up to date on new processes and controls, actively participating in team huddles and monthly department and other meetings Verification of Deposits- Review for Quality, Risk, and to mitigate fraud Confirmation Letter Review- Review for Quality, Risk, and to mitigate fraud Complete Database, Documentum, Siebel, items upon review- Maintain required daily SLA objectives What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in 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.

Bachelor’s degree, preferably in Finance or related field 2+ years experience general brokerage industry knowledge Proficient with Microsoft Excel, Word, and Outlook Core Competencies: Ability to work in a cross-functional team and multi-task in a fast paced deadline driven environment The ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk Communication skills, both written and oral, and willingness to speak up, talk to advisors and stakeholders Analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives Preferences: SIE certification, S7 or S99 preferred Refinitiv/BETA experience   Pay Range: $17.23-$28.72/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. Your recruiter will be happy to discuss all that LPL has to offer!   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,