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Sr Ops Specialist

Job ID: R-004749 Date posted: 10/23/2018 Primary Location SC-Fort Mill

This team is dedicated to servicing the operational needs of advisors leveraging Performance Reporting tools and deliverables powered by Fortigent. The Fortigent Operations Support team will work together in a true team environment servicing a defined group of LPL Financial customers.

The Sr. Operations Specialist will be responsible for the assisting with operational procedures and leveraging internal partners to provide the best service possible.  Members of this team are knowledgeable in data management, investment reporting, portfolio accounting while also performing vendor management and support coordination functions.


  • On-Boarding
    • Assist in the coordination of new client projects and the on-boarding of accounts
    • Opening accounts within the Fortigent operational system
  • Vendor Management
    • Maintain broker, money manager and vendor relations, specific to data connectivity and quality, establishment of new electronic feeds, evaluation of informational issues, vendor contract
    • Contribute to the organization and management of Letter of Authorization procedures for new and existing clients
    • Assist in managing document databases relative to account provisioning procedures
    • Update account serviceability characteristics to validate optimal automation
    • Provide credential management support
    • Help ensure all accounts are authorized and automated to the fullest extent possible
  • Advisor Support
    • Interface with Business Consulting partners to address specific needs of advisors
    • Assist in facilitating operational requests coordinating with front and back office partners as necessary
  • Service Oversight
    • Assist in the completion of operational responses for RFIs, audit reviews, and the collection of data and materials for regulators as needed
    • Follow operational and financial industry policies and procedures
    • Help mitigate possible control failures through group collaboration and planning


  • Bachelor’s degree in business or finance; other degrees will be considered
  • 1 - 3 years of experience in the financial services industry, preferably in operations
  • Past exposure to account opening, advisor transitions and/or data conversions is preferred
  • Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized
  • Interest in being involved in projects in a singular or team environment
  • Proficiency in Microsoft Office products, specifically Excel and Word
  • Ability to handle multiple projects, software and tasks at any given time with minimal supervision
  • Must positively adjust to rapidly changing environment
  • Strong critical thinking and problem solving skills

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