Senior Margin Operations & Risk Specialist

lplfinancial; Tempe (AZ); On-site; USD 36,000 - 60,000; 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 Senior Operations Specialist to monitor and maintain margin activity, debits, and trade items in client accounts. You will handle escalations, review risk reports, and support management with risk-based projects.

The role requires a finance-related degree and brokerage knowledge, with a focus on regulatory guidelines and accuracy in a fast-paced environment. This on-site position in Tempe emphasizes collaboration with advisors and multiple departments.

Qualifications

• Bachelor's degree in Finance or related field.
• 1+ years' experience in general brokerage industry knowledge.
• Experience with margin rules and risk reporting is a plus.

Responsibilities

• Investigate daily risk items and decide on potential risk actions.
• Escalate and resolve unresolved items; own tasks and follow-ups.
• Review and enforce margin calls and Regulation T requirements.
• Monitor trade-related items and firm/regulatory guidelines.
• Resolve non-trade issues like short positions and debits.
• Prepare risk-based departmental reports and analyses.
• Interact with advisors, management, and other departments to meet deadlines.

Skills

Margins experience

Operations experience

Analytical mindset

Excel

Access

FINRA SIE

Series 7 or 99

Education

Bachelor's degree in Finance or related field

Tools

Excel

Access

Job description

LPL Financial is seeking a Senior Operations Specialist to monitor and maintain margin activity, debits, and trade items in client accounts. You will handle escalations, review risk reports, and support management with risk-based projects.

The role requires a finance-related degree and brokerage knowledge, with a focus on regulatory guidelines and accuracy in a fast-paced environment. This on-site position in Tempe emphasizes collaboration with advisors and multiple departments.