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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Lead Ops Specialist

Job ID: R-016830 Date posted: 09/10/2021 Primary Location SC-Fort Mill

The Lead provides daily, hands-on supervision, problem-solving, and training support to their respective team and department required processes to include vendor partner support and analysis as required. Additional responsibilities also include review and monitoring daily workflow in various processes according to established policies, procedures, and service levels.

The Lead also provides and presents weekly and monthly quality, productivity, supervisory controls, and volume statistics and/or reports to the leadership team to include all sites and vendor performance as required.

Essential Functions:

  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites as required. Allocate work amongst processing team to ensure daily, weekly and monthly service level expectations are being attained.
  • Must have the ability to communicate complex issues both in-writing and verbally to management and internal/external vendors and customers. Must be able to provide oversight of existing processes and mitigate risk against future firm impact.
  • The Lead will provide timely coaching to appropriate vendor partners related to processing, problem resolution, daily reconciliation, and customer service approaches.
  • Subject matter expert on operational policies and procedures with main focus on overall transfer process, including Outgoing Non-ACAT and Non-Standard transfers.
  • Oversee the review, reconciliation and supervisory control of data and its transmission from multiple vendors. Provide detail-level analysis to external clients while meeting service level agreements.
  • Documents quality issues, performance measures and quality improvements for management review.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Collaborate with subject matter experts to obtain key job knowledge that will help meet the specific business needs. Research complex situations and define the actions necessary to resolve the situation.
  • Assist with project testing and implementation


  • Bachelor's degree preferred with at least three years related customer service and operations experience.

Licenses/Certifications Required/Preferred: FINRA Series 99 required within 4 months of employment.

  • Series 7, 66, 24 preferred
  • Strong relationship and people management skills.
  • Strong communication skills, time and priority management.
  • Strong skills in PowerPoint, Word and Excel.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

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 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 (800) 877-7210.

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