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Manager, Operations

Job ID: R-002622 Date posted: 04/16/2018 Primary Location SC-Fort Mill

Responsibilities:
The Statements Communication Manager is responsible for managing Ops Specialists, Senor Ops Specialists, and Analysts, in the Statements Communication department.

The Manager is responsible for establishing, implementing, and directing quality control efforts to ensure that requirements for steps in processes conform to quality standards. Through subordinate staff, establishes and maintains quality assurance standards, procedures, and controls. Works directly with Internal Audit on control audit activities and to enforce requirements as specified by internal compliance measures and external regulatory agencies.  Reviews documentation for completeness and accuracy. Works with product development/management during new product implementation and establishes checkpoints for testing new processes. Initiates corrective action for procedural product or process deficiencies.  Develops and implements a program of vendor relations.  May function as a key quality representative for internal audits.  Required to confirm to compliance and security regulations and procedures to maintain a compliant environment at all times.  Typically requires a Bachelors degree and at least five years of experience including supervision


Essential Functions:
Staff Management - The Manager is responsible for hiring, training, and motivating of staff. The Manager will 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. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and evaluating and conducting employee evaluations. The Manager will also work on vendor management and offshore staff

Project Experience – Will assist Analysts in handling department projects including creation of new workflows, developing test scripts, performing QA, defect management and User Acceptance Testing as well as oversight of all project deliverables.

Service Management- The Manager is responsible for handling escalated advisor and/or client issues. The Manager will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues. Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures. Participation in various legal and/or audit assignments as required. Responsible for daily quality control, managing error rates, exception review processing and daily reporting.

Qualifications:
Bachelor's degree required, Master’s degree preferred
Three to five years management experience within Financial Services preferred

Series 99 securities license (or another qualifying securities license) or the ability to pass the Series 99 exam within 120 days of hire date is required/ Series 7 Preferred
Ability to manage and lead staff
Excellent oral and written communication skills
Ability to meet deadlines in a fast paced environment
Ability to multitask with good time management skills
Thorough and detail-oriented with strong investigative analytical skills
Software/Systems Skills: Microsoft Office Suite required; BETA, Documentum, and DTC experience preferred.  Ability to create macros and programming experience preferred

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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