Senior Margin Ops & Risk Specialist

LPL Financial LLC; Tempe (AZ); On-site; USD 23,000 - 39,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial LLC is seeking a Senior Operations Specialist in Tempe to monitor margin calls and risk items, ensuring compliance with firm and regulatory guidelines. The role involves escalation handling, cross-functional collaboration with advisors and departments, and support in risk-based reporting.

The position requires a Finance-related bachelor’s degree and brokerage industry knowledge, with strong communication and analytical skills to drive accurate risk assessment and timely actions.

Qualifications

• Bachelor’s degree in Finance or related field required.
• 1+ years’ experience in general brokerage industry recommended.
• Strong communication skills, both written and verbal.
• Ability to analyze risk and comply with regulatory guidelines.

Responsibilities

• Monitor margin calls and related risk items daily.
• Escalate issues as needed and coordinate with teams.
• Handle escalations and ensure timely follow-ups.
• Review and enforce regulatory and firm guidelines on margin.
• Analyze trade-related items and Regulation T requirements.
• Investigate and resolve non-trade related issues.
• Prepare and review department risk reports.
• Interact with advisors and internal departments daily.

Skills

Cross-functional teamwork

Multi-tasking

Deadline driven

Communication skills

Analytical skills

Education

Bachelor’s degree in Finance or related field

Tools

Microsoft Excel

Microsoft Access

FINRA SIE certification

Series 7 or 99

Job description

LPL Financial LLC is seeking a Senior Operations Specialist in Tempe to monitor margin calls and risk items, ensuring compliance with firm and regulatory guidelines. The role involves escalation handling, cross-functional collaboration with advisors and departments, and support in risk-based reporting.

The position requires a Finance-related bachelor’s degree and brokerage industry knowledge, with strong communication and analytical skills to drive accurate risk assessment and timely actions.