Senior Margin Ops Specialist: Risk & Trade Expert

LPL Financial; Tempe (AZ); On-site; USD 25,000 - 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 is seeking a Senior Operations Specialist in the Margins department in Tempe, AZ. You will monitor margin calls, debits, and trade items within firm and regulatory guidelines, handling escalations and assisting management with risk-based reports and projects.

You will work with LPL Financial Advisors and internal departments to meet regulatory deadlines, requiring strong collaboration, communication, and analytical skills in a fast-paced environment.

Qualifications

• Bachelor’s degree preferred in Finance or related field.
• 1+ years’ experience of general brokerage industry knowledge.
• Strong cross-functional teamwork and communication skills.

Responsibilities

• Monitor daily margin calls and related items in LPL accounts.
• Escalate and resolve risk items with ownership and follow-up.
• Review and enforce margin and Regulation T guidelines.

Skills

Brokerage industry experience

Cross-functional teamwork

Risk awareness

Education

Bachelor’s degree in Finance or related field

Tools

Excel

Access

Job description

LPL Financial is seeking a Senior Operations Specialist in the Margins department in Tempe, AZ. You will monitor margin calls, debits, and trade items within firm and regulatory guidelines, handling escalations and assisting management with risk-based reports and projects.

You will work with LPL Financial Advisors and internal departments to meet regulatory deadlines, requiring strong collaboration, communication, and analytical skills in a fast-paced environment.