Operations Team Lead - Settlements

LPL Financial; Tempe (AZ); On-site; USD 29,000 - 48,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Lead Operations Specialist in Tempe to supervise settlement processes, sign off on daily reports, and mentor a team in a fast-paced brokerage operations environment.

The role emphasizes collaboration with management and vendors, strong analytical skills, and compliant handling of depository and settlement activities. A 1–3 year background in wealth management operations is expected, with FINRA readiness within 90 days.

Qualifications

• 1–3 years experience in wealth management operations.
• FINRA Registration, or the ability to obtain within 90 days.
• Proficiency with Excel, Word and PowerPoint.

Responsibilities

• Communicate complex issues to management and vendors in writing and verbally.
• Balance, reconcile, and research breaks related to Depositories, Trade Settlement and Transfers.
• Document quality issues, performance measures and improvements for management review.
• Generate reports and track trend numbers.
• Coordinate with internal and external teams to support ongoing processes.
• Lead Weekly Team Huddles focusing on engagement and information.
• Oversee key controls and mentor junior colleagues to ensure timely processing.

Skills

Analytical skills

Communication skills

Under pressure

Education

Bachelor's degree

Tools

Microsoft Office (Excel, Word, PowerPoint)

Job description

Where Ambition Meets Innovation

Job Overview

The Lead Operations Specialist is a key role in brokerage operations acting as a tenured and senior processing-level Subject Matter Expert at the firm. Within the Settlements Department this includes signing off on numerous daily reports inclusive of multiple controls, assisting management with oversight and reporting on firm-level activity, fielding escalated reviews and advisor-facing interactions, and acting as a voice of confidence with the team while continuing to become a multi-faceted subject matter expert.

Responsibilities

• Communicate complex issues both in writing and verbally to management and internal/external vendors and customers
• Knowledge in balancing, reconciling and researching breaks related to our Depositories, Trade Settlement and Transfers
• Documents quality issues, performance measures and quality improvements for management review
• Generating reports and tracking trend numbers
• Coordination with internal and external team members to implement or support ongoing processes
• Lead Weekly Team Huddles, focusing on a balance of Engagement and Information.
• Work with Management and Team Analysts to complete regularly cadenced key controls for the department, and process as well as provide oversight on non-key controls being processed by junior colleagues. Organization and timeliness are key.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a 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.

Requirements

• Minimum 1-3 years experience in wealth management operations
• FINRA Registration, or the ability to obtain within 90 days
• Experience with Microsoft Applications, particularly Excel, Word, PowerPoint

Core Competencies

• Strong analytical and problem-solving skills with a keen attention to detail
• Excellent oral and written communication skills
• Ability to perform under pressure with competing deadlines

Preferences

• Bachelor’s Degree from an Accredited University
• Knowledge of SEC and FINRA Regulations pertaining to Financial Operations

#LPL-PA

#LPL-H1

Pay Range

$20.85-$34.71/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, 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, services, and technology resources they need to run thriving businesses.

For further information about LPL, please visit www.lpl.com. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

EAC 5.19.26