Senior Executive in Operations at a Mumbai office. Responsible for MIS tasks with 2 years experience.
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
Job title
Job type
Experience level
Salary
Degree requirement
Tech skills
Location requirements
Faculty Operations Coordinator at Torrens University providing operational support to academic management. Coordinating teaching operations, compliance, and financial oversight across faculties.
Integrante del equipo de operaciones realizando trabajos de arboricultura y siguiendo las reglas de seguridad. Contribuyendo a la misión de servicio al cliente con trabajo de alta calidad.
IT Operations Service Manager overseeing service delivery in a Global Delivery Center, ensuring quality and performance across IT operations.
Service Delivery Manager leading IT support team for a tech house empowering businesses in engineering. Focusing on IT service delivery, operational excellence, and stakeholder coordination.
Tech Sales Lead managing B2B relationships in technology solutions. Driving revenue through client consultations and team leadership in a high - energy environment.
Tech Sales Lead at NerdsToGo driving B2B sales while managing operations and technical oversight. Lead revenue growth through client consultations and system designs for SMBs.
Senior Manager Enterprise Learning Operations overseeing learning systems and processes at Telecare University. Responsible for execution, governance, and improvement of enterprise learning operations and training related to Avatar (EHR).
Manager, Global Media Ops focusing on MediaOcean technology stack and North American integrations. Leading efficiencies and supporting media operations with possible global expansion.
Senior PMO Manager overseeing project coordination and compliance for top analytics firm. Driving operational excellence and stakeholder management to improve project outcomes across multiple teams.