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Sr Ops Specialist

Job ID: R-005896 Date posted: 02/26/2019 Primary Location SC-Fort Mill

Job Description:

Position Summary:

The Sr. Ops Specialist role within Rep Maintenance will provide quality service and partner with all business units to process change of representative assignments on all internal account types and direct business accounts. This role will also serve as a key resource to the staff and management within the department, acting as a SME on all subjects and systems relevant to the department. The Sr. Ops Specialist will serve as first point of contact for escalated items and will work with a variety of service teams to resolve matters promptly.   The Sr Ops Specialist will also support productivity and efficiency improvement initiatives within the business unit on a constant basis.

Key Responsibilities:

  • This role will take a leadership role in escalation management and fulfillment. The Sr. Specialist will actively work to prevent escalations, and in instances where an escalation does occur, the individual will assume a leadership role, managing the problem to completion with accuracy and efficiency as top priorities.
  • Process Improvement - Work with staff and management to identify new ways to process business that seek to increase department efficiencies and reduce wasteful activities in order to enhance the value we provide to our customers. This includes reviewing, analyzing, and streamlining processes from the ground up across multiple departments. In order to succeed, out of the box thinking and a willingness to challenge existing processes is a must.
  • Coordinate with internal and external parties such as Service Center Representatives, Business Consultants, IS Channel Institution, Annuity Carriers and Mutual Fund Sponsors to update rep assignments on outside books of business in a timely manner.
  • Review, validate, and process advisor, client, and Institution driven rep change    requests.  Proactively resolve processing issues and ability to communicate resolutions to peers and management.


  • Bachelor's Degree/Preferred
  • 2+ years of experience in the Financial Industry/Preferred
  • Software/Systems Skills Required/Preferred: Microsoft Office Suite
  • Customer service-oriented with the ability to partner with clients, other firms, service team, offshore partners and various business units within the company.
  • Ability to identify processing gaps and provide solutions to resolve.
  • Exhibits accuracy and thoroughness in performing job functions.
  • Ability to adapt to change well and be results driven with a positive demeanor.
  • Attention to detail, problem solving and time management skills.
  • Strong ability to multi-task and work independently or within a team setting.

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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Area(s) of InterestChoose at least one job category and/or location.

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