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Lead Ops Specialist

Job ID: R-007980 Date posted: 11/07/2019 Primary Location SC-Fort Mill

Lead Ops Specialist – New Accounts

Position Summary
The Lead Ops Specialist will be responsible for supporting the New Accounts team in all functions resulting in superior service delivery to advisors and clients. The Lead will serve as a subject matter expert on all operational policies and procedures and assist with information distribution regarding new accounts subject areas such as new account opening, review and acceptance of account paperwork, and account maintenance. They will support the New Accounts team and external vendors to ensure productivity and accuracy goals are achieved. They will work closely with internal departments and external vendors to support ongoing process improvement and project implementations.

Essential Job Functions:

  • Will lead a fast-paced and changing environment, supporting the team so that our external and internal service levels are consistently at or above LPL benchmarks.
  • Fielding questions/inquiries from the new accounts team as well as external and internal partners
  • Assist with hiring, coaching and evaluating staff.
  • Manage team resources to ensure timely productivity and quality review
  • Ensure that all processes satisfy regulatory requirements and SLAs to include LPL, AXA, and vendor(s).
  • Ensure Supervisory Control procedures are being met to include LPL and vendor(s).
  • Manage team to ensure close process supervision is maintained and productivity and accuracy goals are achieved.
  • Effectively communicate goals, monitor progress, motivate and set expectation of the team, internal partners and vendor partners.
  • Review and management of daily workloads
  • Assist with training needs
  • Provide effective leadership to staff through feedback and coaching.
  • Participate in various other projects, research, procedure creation/review, training, etc.


  • Expert operational knowledge of the New Accounts area, including Advisory, Brokerage and Direct business areas preferred.
  • Effective Oral/Written Communication, Adaptability, Initiative, Customer Service, Drive for Results,
  • Ability to manage day-to-day workload with minimal to no supervision
  • Strong attention to detail
  • Bachelor's degree preferred with at least three years related customer service and operations experience.
  • FINRA Series 99 is required (or must be completed within 6 months of hire);
  • Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments.
  • Software/Systems Skills Preferred:
  • Microsoft Office Suite required; MS Access & Excel is Preferred

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

About LPL Financial:

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 and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

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

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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