Lead, Alternative Investment Operations

LPL Financial; Tempe (AZ); On-site; USD 80,000 - 133,000; Full time

Job summary

LPL Financial is seeking a driven Operations professional to manage daily operations for Alternative Investment products in Tempe, AZ. You will oversee reconciliation, transfers, conversions and dividends, while shaping projects and leveraging data analysis to meet regulatory and business needs.

The role requires strong communication, leadership, and project management skills, with a focus on delivering top-tier client experiences and scalable processes.

Qualifications

• 5+ years of industry experience in Operations (financial services preferred).
• Series 99 required.
• BA/BS degree or equivalent work experience.
• Strong interpersonal and communication skills across levels of the organization.

Responsibilities

• Provide ongoing coaching and development to staff.
• Conduct regular on-site and cross-site meetings.
• Drive a performance management culture with timely mid-year and year-end evaluations.
• Conduct vendor, regulatory, and risk oversight for all processes.
• Support and contribute toward successful execution of projects and initiatives.
• Leverage technology to automate manual work and simplify processes.
• Develop risk-based mitigation approaches and interpret regulatory changes.
• Deliver best client experience through service excellence and sound financial management.
• Develop quality service standards and processes.
• Risk management including reconciliations, error rate management and daily reporting.
• Participate in departmental projects and User Acceptance Testing.
• Handle escalations from Service Center and Advisors.

Skills

Independent work

Communication

Attention to detail

Leadership

Regulatory knowledge

FINRA Series 7

Education

BA/BS degree

Tools

Word

Excel VBA

Access

PowerPoint

Job description

LPL Financial is seeking a driven Operations professional to manage daily operations for Alternative Investment products in Tempe, AZ. You will oversee reconciliation, transfers, conversions and dividends, while shaping projects and leveraging data analysis to meet regulatory and business needs.

The role requires strong communication, leadership, and project management skills, with a focus on delivering top-tier client experiences and scalable processes.