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Mgr, Operations

Job ID: R-001247 Date posted: 11/15/2017 Primary Location SC-Fort Mill

Position Summary
Responsible for managing and supporting the New Accounts team resulting in superior service delivery to advisors and clients. Manages the New Accounts team and external vendors to ensure productivity and accuracy goals are achieved. Works closely with internal departments and external vendors to support ongoing process improvement and project implementations.

Essential Job Functions:

• Hires, coaches and evaluates staff.
• Manages team resources to ensure timely productivity and quality review, documentation and reporting is conducted to encompass multiple sites and vendor processing. Ensure key quality results are provided to process leaders and vendor partners in a timely and clear manner.
• Ensure that all processes satisfy regulatory requirements and SLAs to include LPL and vendor(s).
• Ensure Supervisory Control procedures are being met to include LPL and vendor(s).
• Manages team to ensure close process supervision is maintained and productivity and accuracy goals are achieved. This will require coordinating LPL and vendor(s) processing assignments.
• Partners with counterparts across departments to facilitate cross-functional resource sharing as necessary resulting in a more flexible staffing model.
• Effectively communicates goals, monitors progress, motivates and manages expectations of the team, internal partners and vendor partners.
Other Job Duties:

• Will manage a fast-paced and changing environment, managing and supporting team so that our external and internal service levels are consistently at or above LPL benchmarks.
• Review and management of daily workloads
• Various other projects, research, procedure creation/review, training, etc
• Provide effective leadership to direct reports incorporating performance management practices through individual performance plans, periodic reviews and feedback sessions, coaching and development.

• Bachelor's degree preferred with at least five years related customer service and operations experience.
• Minimum of two years direct supervisory/managerial experience.
• FINRA Series 7, 66 (or S63 & S65) and 24 are required (or must be completed within 6 months of hire); Series 4 preferred
• Expert operational knowledge, New accounts operational area, Including Advisory, Brokerage and Direct business areas preferred.
• Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments.

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 Fort Mill, 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 1996-2017, based on total revenue.

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