Senior Ops Margin Specialist

LPL Financial

. Monitor and maintain margin call activity, debit balances, and trade-related items within LPL Financial accounts .

Posted 9/21/2026full-timeUnited StatesSenior💰 $17 - $29 per hourWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in margin call management, regulatory compliance, and risk assessment within the brokerage industry. Proficient in analyzing trade-related items and communicating effectively with financial advisors and management to ensure adherence to firm and regulatory guidelines.

Highest-signal resume keywords

Margin Call ManagementRisk AssessmentFinancial Instrument ExperienceMicrosoft Excel ProficiencyFINRA Securities Industry Essentials Certification

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Margin Call Activity MonitoringTrade CorrectionsRegulatory ComplianceData AnalysisRisk-Based Reporting

Soft Skills

Strong Communication SkillsOrganizational SkillsAnalytical MindsetCross-Functional Team CollaborationMulti-Tasking Ability

Tools & Technologies

Microsoft AccessBETA

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE)Series 7Series 99

Industry Keywords

Brokerage Industry KnowledgeRegulation T RequirementsEquities TradingFixed Income TradingCDs Trading

About the role

Key responsibilities & impact

Monitor and maintain margin call activity, debit balances, and trade-related items within LPL Financial accounts
Solve issues identified on daily risk reports and make decisions on potential risk items such as options and regulatory violations
Initiate sales, buy-ins, and trade corrections
Resolve escalations and own follow-up, enforcement, and escalation of unresolved items
Review, calculate, reconcile, communicate, and enforce firm and regulatory guidelines related to margin calls and maintenance requirements
Monitor, analyze, communicate, and enforce guidelines related to trade-related items and Regulation T requirements
Research and resolve non-trade items such as short positions and debits
Review and complete departmental reports associated with risk-based reporting
Interact with LPL Financial Advisors, department management, and internal departments to meet firm and regulatory deadlines
Assist management with risk-based reports and projects

Requirements

What you’ll need

Bachelor’s degree, preferably in Finance or related field
1+ years’ experience of general brokerage industry knowledge
Ability to work in a cross-functional team and multi-task in a fast-paced, deadline-driven environment
Ability to prioritize responsibilities and follow regulator and firm deadlines
Ability to identify, understand, and manage firm risk
Strong written and oral communication skills
Strong organizational and analytical skills
Demonstrated ability to evaluate business opportunities and results against established objectives
Margins experience or Operations experience preferred
Understanding of BETA preferred
Analytical mindset and experience working with data and reporting preferred
Financial instrument experience, including trading equities, fixed income, and CDs, preferred
Proficiency with Microsoft Excel and Access preferred
FINRA Securities Industry Essentials (SIE) certification, Series 7 or 99 preferred

Benefits

Comp & perks

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Competitive LPL Total Rewards package