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Operations Manager

Job ID: R-008933 Date posted: 02/26/2020 Primary Location SC-Fort Mill

LPL Financial is currently in search of an Operations Manager who will be responsible for managing front-line employees (Ops Specialists, Senior Ops Specialists, Analysts, Team Lead position) in the Cash Management (Disbursements) 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 and monitor potential fraudulent activity. Through subordinate staff, this role 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; Partners with product development/management during new product implementation and establishes checkpoints for testing new processes; and Initiates corrective action for procedural product or process deficiencies.

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.
  • Project Experience – Will assist Analysts is 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. Acts as a resource to the department and be able to apply complex knowledge of the overall certificate deposit process for inquiries received from internal and external customers and transfer agents. 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.


  • Bachelor's degree preferred
  • 3-5 years LPL Experience with some supervisory knowledge or non-LPL experience with 3 years management experience within the Financial services industry
  • Series 99, 6 or 7 required or must be obtained within 6 months of employment
  • Ability to manage and lead staff of 10-15 employees and contingent workers
  • 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 skills
  • Software/Systems Skills:  Microsoft Office Suite required; BETA, Documentum, and DTC 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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 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