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.
The Lead Operations Specialist in Account Transfers provides daily hands-on supervision, problem-solving, and training support to their respective team and department required including vendorpartner support and analysis as needed. The Lead also provides weekly and monthly quality, productivity, supervisory controls, and volume statistics and reports to the leadership team on all sites.
- Reviewing, evaluating, and monitoring the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites. Allocating work amongst processing team to ensure attainmentof daily, weekly, and monthly service level agreements (SLAs).
- Acting as a subject matter expert on operational policies and procedures with focus on the overalltransferprocess .Overseeing existing processes and mitigating risk against future firm impact.
- Collaborating with other subject matter experts to obtain job knowledge, along with researching complex situations to determine necessary action.
- Ensuring to internal and regulatory standards, guidelines, and procedures.
- Providing timely feedback to vendor partners related to processing, problem resolution, daily reconciliation, and customer service approaches.
- Handling the review, reconciliation ,and supervisory control of data and its transmission from multiple vendors. Providing detailed analysis to external clients while meeting service level agreements.
- Documenting and communicating quality issues, performance measures, and quality improvements for management review.
- Assisting with project testing and implementation.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
- Three to five years of financial services and customer service experience
- FINRA SIE and 99 licensing within 90 days of accepting position
- Proficiency in Microsoft Office Suite
- Strong relationship-building and people management skills
- Excellent verbal and written communication skills and the ability to communicate complex issues to multiple audiences
- Strong time management and organizational skills and the ability to manage multiple priorities
- Bachelor’s degree from an accredited college or university
- Understanding of BETA and Microsoft Access
- Project experience within an operational environment
The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.
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.
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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.