LPL Financial · 1 day ago
Senior Operations Specialist, Purchasing & Sales
Fort Mill, SC
Full-time
Onsite
Mid, Senior Level
$17.23/hr - $28.72/hr
1+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success while helping clients pursue their financial goals. The Senior Operations Specialist in Purchases and Sales is responsible for financial and regulatory functions to ensure compliance, reviewing client accounts, and collaborating with internal and external teams.
FinanceFinancial Services
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
Qualification
Required
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
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
MarketScreener
2025-12-16
2025-12-12
Company data provided by crunchbase