Senior Operations Analyst - Mutual Funds

**Overview:** LPL Financial is seeking a highly skilled Senior Operations Analyst to join our Mutual Funds Operations team. As a key member of our team, you will be responsible for processing trade corrections, settlement reconciliation, and analyzing business requirements to ensure compliance with regulatory policies and procedures. **Responsibilities:** • Manage daily processing tasks • Reconcile and analyze reports, responsible for daily quality control, managing error rates, exception review processing, and daily reporting • Analyze suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures • Review complex escalations and operational problems, summarize issues, and communicate key information to communicate with advisors • Communicate with trading, compliance, legal, and operations departments as well as external counterparties to resolve issues • Research and process service requests created by service teams • Support and contribute to the successful execution of projects and initiatives that support LPL's priorities • Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure • Develop risk-based mitigation approaches that may yield changes to functions and departmental requirements • Understand and interpret rule modifications in an ever-changing regulatory environment and understand the business needs of LPL, our advisors, and other departments • Develop quality service standards and processes to create a consistent service experience • Handle escalations by both the Service Center and Advisors • Other assignments as required by Management • *Qualifications:** • 3+ years of industry experience (preferably corporate actions) in Operations • 2+ years of trading and/or corrections experience • Ability to work independently in a fast-paced environment with multiple priorities • Ability to work with and communicate effectively to various levels throughout the organization • Excellent verbal and written communication skills • MS Excel experience (macros and vlookups) preferred • Project management and escalation leadership experience preferred • SQL, Alteryx, VBS experience preferred • Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments • Bachelor Degree preferred • SIE and either Series 7 or Series 99 preferred • *Benefits:** • Competitive pay range of $26.39-$43.99/hour • Comprehensive Total Rewards package, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more • Opportunities for career growth and development • Collaborative and innovative work environment • Access to cutting-edge technology and resources • Flexible work arrangements and work-life balanceApply Now

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