Manager, Fraud Operations

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Tempe, AZ
71K-118K Annually
Fintech
The Role

Do you have a passion for leading, being entrepreneurial, and being a part of process improvement?

If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

LPL Financial is currently seeking a manager for Fraud Operations, which will manage and lead a high-risk, fast-paced, high-profile team. The Fraud Operations manager will be responsible for working with leadership in developing, structuring, and leading the response and escalation process as it relates to potential and actual fraud items presented to the Fraud Operations Team.  The individual will be expected to make quick decisions, based on the facts provided with the intent of protecting LPL clients and preventing future fraud.  Relationship building and open communication with internal and external partners and LPL businesses across the business will be a key success factor in this role.

Responsibilities:

  • Manage Fraud Operations Team to lead fraud detection efforts and fraud escalations based on transaction requests, as well as escalations received within Service, Trading, Operations and internal partners (Legal, Compliance, Risk, Treasury, and other departments) with the intent of preventing fraud for review and inquiry.

  • Quality Control of Fraud Operations investigations

  • Monitoring and keeping abreast of current fraudulent trends in the industry.

  • Response and tracking of all inquiries escalated to the Fraud Operations Team inbox

What are we looking for? 

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team-oriented, and can execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor’s Degree

  • 4+ years of Fraud or Financial Crimes experience

  • FINRA 99 or 7

  • 2 years of Management experience in financial services

Preferences & Core Competencies:

  • Ability to multi-task, work well under pressure with a commitment to deliver under tight deadlines

  • Discover and craft a development plan filled with tasks and deliverables that are personalized to the employee's growth strategy

  • Self-starter; must be a thought-leader, strategic thinker, and independent decision-maker

#LI-PA


 

Pay Range:

$70,600.00 - $117,700.00


 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!


 

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

The Company
HQ: San Diego, CA
8,926 Employees
On-site Workplace
Year Founded: 1989

What We Do

Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs.

With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way.

Your greatness is our goal.

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com

Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.

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