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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 LPLFinancialHiring@lplfinancial.com.
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Manager - Rep Maintenance Team

Job ID: R-023078 Date posted: 06/13/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Rep Maintenance Team is responsible for Rep re-assignment across various Channels. Team provides quality service to our Independent Advisors, Financial Institutions and RIA Firms by processing change of representative request for internal and directly held accounts as well as processing address updates for Advisors, Broker Dealer Change requests, Dealer resignations, Branch Updates and updates to House rep ID as well as working closely with our Offshore partner.

The ideal candidate will be responsible for managing staff in a fast paced, detail-oriented environment with strict deadlines. This department is a dynamic cross-functional team that provides solutions while keeping lines of communication open with advisors as well as a wide range of LPL departments. 

What you will do:

  • Responsible for managing a team of approximately 10-12 Specialists, Senior Specialists & Associate analysts.
  • 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.
  • Establishes and maintains quality assurance standards, procedures, and controls as it pertains to Rep Maintenance processes.
  • Work directly with internal audit and regulatory agencies for various audit activities.
  • Handle escalated advisor and client issues through our department mailbox as well as LPL Service Professionals.
  • Handles coordination between onshore and offshore teams. 
  • Technology and Systems Management - handle 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.
  • Assist staff to understand the organization's vision and values and their importance. Translates the vision and values into day-to-day activities and behaviors.
  • Provide strategic leadership while staying tactically close to the day-to-day operations
  • Provide weekly status report of issues pertaining to department and/or employees
  • Monitor and analyze department trends and errors to improve on training opportunities
  • Conduct regular meetings with on-site and cross-site staff
  • Other assignments as required by Senior Leadership

Who are we looking for?

  • Must be proactive and remain cognizant of deadlines and regulatory requirements.
  • We want strong collaborators who can deliver a world-class client experience.
  • Must be able to adapt to change and pivot focus as needed.
  • We are looking for someone who thrives in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
  • Must be able to investigate all instances where departmental service level agreements are not being met
  • Targets challenging developmental assignments that build individual confidence and organizational capability.
  • A positive can-do attitude; willing to "get in the weeds" with employees

Requirements:

  • SIE and Series 99 required or must be willing to obtain within 90 days.
  • Ability to effectively communicate to senior leadership, financial professionals, and third party vendors.
  • 3 to 5+ years or industry experience (preferably Broker-Dealer Services) in Operations
  • 2+ years of experience with coaching, management, or leading a team
  • Must have strong written and verbal communication skills.
  • Proven ability to lead, develop and coach professionals while possessing strong mentoring and employee development skills.
  • Ability to inspire, motivate, and challenge your team to tackle the opportunities for improvement
  • Flexibility to work varying schedules and hours as needed

Software/Systems Skills Required/Preferred:

  • Proficiency in Microsoft Office required (Including Excel, Access, Outlook, Word & PowerPoint).
  • BETA – Books and Records platform where we perform most of our duties (Preferred)
  • Advanced Excel and other data analytical skills strongly preferred.
  • Familiarity with VBA Required and SQL Preferred

Preferred Qualifications:

  • Bachelor’s Degree
  • 2+ years of management experience
  • FINRA license

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.

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We take social responsibility seriously. Learn more here

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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 (800) 877-7210.

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