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Manager Direct Business Stock Record

Job ID: R-000229 Date posted: 05/12/2017 Primary Location SC-Fort Mill

Job Requirements:

LPL is currently in search of a Manager for our Stock Record team within the Direct Business Department who is:

Responsibilities:

  •  Provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful.
  • Conduct regular meetings with on-site and cross-site staff
  • Driving a performance management culture, achieving completion of timely mid-year and year-end self-evaluations and manager evaluations for all active employees
  • Support and contribute toward the successful execution of projects and initiatives that support LPL’s priorities
  • Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.
  • 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
  • Deliver the best personal and relevant client experience possible through operational and service excellence delivery and demonstration of sound business and financial management practices
  • 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

Qualifications:

  • 3+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • Experience working with different investment vehicles including Alternative Investments, Mutual Funds and Equities.
  • In depth understanding of Alternative Investment operations including purchasing, re-registration, transfers, dividends and corporate actions.
  • Knowledge and understanding with FINRA SEA Rule 15c3-3 Reserves and Custody of securities.
  • Knowledge in Networking through the NSCC, including differences between matrix levels including core functions of B50, B51, B52.
  • Experience working with position files.
  • Project Management background a plus.
  • Ability to work independently in a fast paced environment with multiple priorities
  • Ability to work with and communicate effectively to various levels throughout the organization.
  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
  • Bachelor Degree Preferred
  • Excellent verbal and written communication skills


Licenses/Certifications Preferred:

  • Series 99 required, Series 7 preferred


Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
  • SQL
  • BETA, Documentum a plus


Soft Skills Required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Charlotte, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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 1996-2016, based on total revenue.

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