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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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Operations Specialist

Job ID: R-024748 Date posted: 08/01/2022 Primary Location SC-Fort Mill
  • Are you a leader and a team player? Are you a solution-oriented and passionate about continuous improvement? Are you a leader who can motivate a team to provide an excellent client experience?   Are you interested in being part of a team that is working to scale and grow?  Are you interested in being part of a team that is working to transform and do things differently? Are you passionate about serving clients, adding value, improving processes/systems, and developing individuals to help advance their careers? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The ideal candidate will have a strong attention to detail, excellent verbal and written skills and be a team player with a positive attitude. Responsibilities include reconciling, processing and statusing of transfers. In addition, the operations specialist will be responsible for the ongoing assessment, tracking and reporting of quality and accuracy of assigned processes..


Responsibilities:

  • Review, research, reconcile and/or process transfer requests and be able to expedite requests within the service level expectations.  Must be able to work at computer workstation for the majority of the day.  Attention to detail and problem solving skills are extremely important. 
  • Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests/fails or any additional requirements that may be needed to complete the transfer.  The qualified candidate must be able to handle inbound and outbound calls and display utmost professionalism. 
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Accepts/processes various levels of required documentation dependent upon assigned operational task.
  • General maintenance of accounts as required.

What are we looking for?

We want a strong collaborator who has excellent communication skills, someone who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor's degree preferred with at least three years related to customer service and mutual fund operations experience. 
  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision
  •  Licenses/Certifications Required/Preferred: N/A
  • Software/Systems Skills:  Microsoft Office Suite required, Beta preferred

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.

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