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Mgr, Operations

Job ID: R-003342 Date posted: 08/31/2018 Primary Location SC-Fort Mill

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

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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove