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Sr Operations Specialist

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Job ID R-024439 Date posted 09/23/2022 Primary Location SC-Fort Mill Other Locations KS-Overland Park , CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place 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 Stock Records team handles daily recon of all types of securities, in addition to various other processes. We are seeking a candidate who has operational knowledge, preferably in mutual fund and alternative investment operations.

Responsibilities:

  • 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

Requirements:

  • 1-3 years of industry experience (preferably financial services) in Operations
  • Operational background
  • Experience working with different investment vehicles including Alternative Investments, Mutual Funds, and Equities.
  • Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments

Core Competencies:

  • 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
  • Excellent verbal and written communication skills
  • 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


Preferences:

  • SIE
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
  • SQL
  • Bachelor Degree

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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Video Called We are LPL

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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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