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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
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Sr Ops Specialist

Job ID: R-019341 Date posted: 11/19/2021 Primary Location SC-Fort Mill

Position summary - Senior Operations Specialist, New Accounts Operations

The ideal candidate will be responsible for maintaining quality standards supporting the new accounts team in all functions resulting in superior service delivery to advisors and clients. They will serve as a subject matter expert on operational policies and procedures, and perform quality control oversight regarding new accounts subject areas, such as new account opening, review and acceptance of account paperwork and account maintenance.  Candidate must be capable of managing their day-to-day workload, which will include fielding questions, inquiries and escalations from our internal partners, assisting with training needs, and must be accountable for accurate completion of multiple new account tasks. 

Essential Job Functions:

  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards
  • Assists with questions from financial advisors, various internal and external business partners
  • Ensure proper application of compliance and regulatory policies and procedures  
  • Contribute to continuous improvement of the client experience and efficiency, by evaluating existing processes and develop initiatives towards process improvements 
  • Participate in various other projects, research, procedure creation/review, training, etc.
  • Assist in various company initiatives 
  • Update job knowledge by participating in educational opportunities
  • Assume ownership of inquiries and see them through to a timely resolution
  • Research complex situations and define the actions necessary to resolve the situation 


  • Knowledge of operational new accounts area, including advisory, brokerage and direct business areas preferred
  • Effective oral/written communication, adaptability, initiative, customer service, strong attention to detail that drive for results
  • Ability to manage day-to-day workload with minimal to no supervision
  • Minimum Education Preferred: BA/BS Degree and/or prior related work experience within the financial services/securities industry
  • Software/Systems Skills Preferred:
    • Microsoft Office Suite required; MS Access & Excel, BETA, Documentum

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 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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