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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@lpl.com.
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Senior Ops Specialist

Job ID: R-014138 Date posted: 04/13/2021 Primary Location SC-Fort Mill

Senior Operations Specialist


Job Description

The SeniorOperations Specialist will serve as a subject matter expert on operational policies and procedures and assist with information distribution regarding new accounts subject areas such as new account opening, review and acceptance of account paperwork, and account maintenance.

The ideal candidate will have strong attention to detail, excellent customer service skills both verbal and written, and be a team player with a positive attitude. Candidate must be capable of managing their day to day workload which will include fielding questions/inquiries from our internal partners, assisting with training needs, and must be accountable for accurate completion of multiple new account tasks.

Essential Functions:

  • Assists with questions from Financial Advisors and the Service Center with information distribution to various internal and external business partners.
  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards.
  • Documents quality issues, performance measures and quality improvements for management review.
  • Provides information to assist in giving feedback to employees and in the training of employees.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Internally interacts with front-line service center associates, peers and superiors at all levels and in all departments. Externally interacts with all customers - Advisors, Clients, and other vendors
  • Participates in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures.

Qualifications:

  • Minimum Education Preferred: BA/BS Degree and/or prior related work experience or knowledge of the financial services/securities industry
  • Minimum Experience Required: 3-5 years (focus: Financial Services)
  • Licenses/Certifications Preferred: Series 7, 66,
  • Software/Systems Skills Preferred:
  • Microsoft Office Suite required; MS Access & Excel is Preferred
  • Additional Information:
  • Effective Oral/Written Communication, Adaptability, Initiative, Customer Service, Drive for Results, ability to operate with minimal to no supervision

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 @lpl.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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