Mgr, Operations

LPL Financial   •  

San Diego, CA

Industry: Financial Services


Less than 5 years

Posted 297 days ago

This job is no longer available.


The Cash Control Manager is responsible for managing Ops Specialists, Senor Ops Specialists, Analysts, and the Team Lead position in the Cash Management department.

The Manager is responsible for establishing, implementing, and directing quality control efforts to ensure that requirements for steps in processes conform to quality standards. Through subordinate staff, establishes and maintains quality assurance standards, procedures, and controls.

Works directly with Internal Audit on control audit activities and to enforce requirements as specified by internal compliance measures and external regulatory agencies. Reviews documentation for completeness and accuracy.

Works with product development/management during new product implementation and establishes checkpoints for testing new processes. Initiates corrective action for procedural product or process deficiencies.
Essential Functions:

Staff Management - The Manager is responsible for hiring, training, and motivating of staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful.

The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and evaluating and conducting employee evaluations. Project Experience – Will assist Analysts is handling department projects including creation of new workflows, developing test scripts, performing QA, defect management and User Acceptance Testing as well as oversight of all project deliverables. Service Management-

The Manager is responsible for handling escalated advisor and/or client issues. The Manager will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues.

Acts as a resource to the department and be able to apply complex knowledge of the overall certificate deposit process for inquiries received from internal and external customers and transfer agents. Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.

Participation in various legal and/or audit assignments as required. Responsible for daily quality control, managing error rates, exception review processing and daily reporting.


  • Bachelor's degree required, Master’s degree preferred
  • Three to five years management experience within Financial Services preferred
  • Ability to manage and lead staff
  • Excellent oral and written communication skills
  • Ability to meet deadlines in a fast paced environment
  • Ability to multitask with good time management skills
  • Thorough and detail-oriented with strong investigative skills
  • Software/Systems Skills: Microsoft Office Suite required; BETA, Documentum, and DTC experiencepreferred.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Job ID: R-001999.