Operations Manager, Corporate Actions
LPL Financial
full-time
Posted on:
Location: Arizona, South Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $77,288 - $128,813 per year
Job Level
Mid-LevelSenior
Tech Stack
VBA
About the role
- Provide ongoing support, coaching, feedback and developmental opportunities to address staff needs
- Conduct regular meetings with on-site and cross-site staff
- Drive performance management culture, complete mid-year and year-end evaluations
- Conduct vendor, regulatory, and risk oversight for all processes
- Approve and sign off management reports, controls, and process checklist
- Reconcile and oversee large cash balances and security positions
- Support and contribute toward execution of projects and initiatives
- Leverage technology to automate manual work and simplify processes
- Develop risk based mitigation approaches
- Understand and interpret rule modifications and business needs
- Deliver client experience through operational and service excellence
- Develop quality service standards and processes
- Daily corporate action reconciliations, managing error rates, exception review processing and daily reporting
- Participate and implement departmental projects and User Acceptance Testing
- Handle escalations by both the Service Center and Advisors
- Other assignments as required by Leadership
Requirements
- 3-5 years of industry experience (preferably financial services) in Operations and/or Service
- Operational background with experience in identifying and mitigating risk
- Experience working with different investment vehicles including Alternative Investments, Mutual Funds and Equities
- FINRA Series 7 (or 99) license
- Proficiency with Microsoft Office applications, particularly; Excel (VBA), Word, Access (preferred)
- Management experience preferred
- Bachelor’s degree in Finance, Business, or related field (preferred)