Quality Specialist leading quality initiatives from NPI to mass production for Celestica. Ensuring compliance with industry standards and continuous improvement in processes.
About the role
- Associate Analyst managing operations and reconciliation tasks for LPL Financial. Ensuring compliance and supporting daily processing tasks in a fast-paced environment.
Responsibilities
- Manage daily processing tasks as required.
- Reconcile and analyze reports.
- Responsible for daily quality control, managing error rates, exception review processing and daily reporting.
- Analytical skills to reconcile suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures.
- Communicate with trading, compliance, legal and operation departments as well as external contra brokers to resolve issues.
- Research and process service requests that are created by service teams.
- Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.
- Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
- Developing quality service standards and processes to create a consistent service experience
- Handle escalations by both the Service Center and Advisors
- Other assignments as required by Management
Requirements
- 2+ years of industry experience (preferably corporate actions) in Operations
- 2+ years of mutual funds experience
- MS Excel experience (macros and vlookups)
- Project management and escalation leadership experience
- SQL, Alteryx, VBS experience preferred
- Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
- Bachelor Degree Preferred
- SIE preferred
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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