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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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Mgr, Service Center

Job ID: R-019986 Date posted: 12/15/2021 Primary Location SC-Fort Mill

Summary:

The Manager position will oversee the Compliance, Registration, and Continuing Education team, whose focus is primarily to ensure compliance with applicable industry rules (State, SEC and FINRA regulations) and company policies as well as FINRA, state, and insurance licensing and appointments. 

Specific responsibilities include:

  • Act as a subject matter expert on operational policies and procedures by assisting frontline associates with complex policies and procedures questions as well as registration issues.  Consult with frontline associates on how to effectively respond to customer issues.
  • Exercise discretion and business judgment; research and resolve advisor issues
  • Provide strong, compassionate, and visible leadership which foster positive attitudes and trust among employees and our advisors
  • Assist on projects and serve on project teams when asked.
  • QC operational tasks to ensure they are completed correctly.
  • Partner with internal contacts to resolve difficult and/or out of SLA issues.  Work with legal to report audits and complaints and registrations ops to address any issues with licensing and appointments that reps are encountering.
  • Resolve escalated issues, taking ownership and ensuring the situation is completely resolved.
  • Coordinate Compliance/Registration new hire training and assist in supporting Learning and Development
  • Monitor phone queues and real time adherence to ensure associates are adhering to their assigned schedules.
  • Facilitate distribution of operational policy updates, system outages, and other pressing information to frontline associates.  Includes facilitating team huddles and conducting training presentations.
  • Work closely with internal departments to improve processes and ensure timely processing
  • Conduct job interviews
  • Monitor, coach, set performance goals, and motivate staff.
  • Administrative management duties: timecard approvals, interviews, review time off requests, track attendance etc.

Qualifications:

  • 1-2 years of previous customer service experience.
  • 5-7 years of financial services experience required, investment services preferred.
  • Series 7 required and Series 24 required.
  • Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized.
  • Prior Supervisory or Management experiences are preferred.
  • Proficient in Microsoft Office and web based applications.  Adept with PC look up and data input.  Ability to assist internal customers with complex issues in a call center environment.  Manage multiple applications simultaneously while accessing data via multiple PC lookup.  Must have excellent PC and data input skills.  ORACLE and Beta experience a plus.
  • Understands/articulates complex regulatory and operational information quickly and efficiently. 

We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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