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Mgr, Operations

Job ID: R-002334 Date posted: 02/23/2018 Primary Location CA-San Diego
  • Job Description
  • The Manager is responsible for overseeing specialists, senior specialists and leads, handling escalated issues and evaluation of staff performance.
  • Responsible for establishing, implementing, and directing quality control efforts to ensure that requirements for steps in processes conform to quality standards. Through subordinate supervisors or professional staff, establishes and maintains quality assurance standards, procedures, and controls. Works directly with internal audit to schedule and control audit activities and to enforce requirements as specified by internal compliance measures and external regulatory agencies. Reviews documentation for completeness and accuracy. Works with product development/management during new product implementation and establishes checkpoints for testing new processes. Initiates corrective action for procedural product or process deficiencies. Develops and implements a program of vendor relations. May function as a key quality representative for internal audits. Required to conform to compliance and security regulations and procedures to maintain a compliant environment at all times.
  • Requirements:

Bachelor’s Degree Required 5+ years of financial services experience required 2+ years of management experience required Series 99 required or must be willing to obtain within 90 days Proficiency in Microsoft Office required (Including Excel, Word & PowerPoint)

  • Essential Functions
  • 1.) Staff Management - The Manager is responsible for hiring, training, and motivating of staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and evaluating and conducting employee evaluations. The Manager will also work on vendor management and offshore staff.
  • 2.) Service Management- The Manager is responsible for handling escalated advisor and/or client issues. The Manager will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues.  
  • 3.) Responsible for daily quality control, managing error rates, exception review processing and daily reporting. Other duties could also include coordination between onshore and offshore teams.  
  • Other Job Duties
  • 1.) Be proactive and remain cognizant of deadlines and regulatory requirements.
  • 2.) Effective communication with advisors and other operational groups to resolve various account discrepancies.
  • 3.) Coordinating business unit efforts to provide timely status updates and accurately resolve service requests
  • 4.) Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments.
  • 5.) Evaluating and assessing inquiries; escalating issues that require expedited service
  • 6.) Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations
  • 7.) Investigating all instances where departmental service level agreements are not being met
  • 8.) Monitoring the team’s timely adherence to data quality protocols through dashboards and reports
  • 9.) Management of a work group or team within a department, with direct management responsibility for staff. Ensures goals are met by efficient application of processes and procedures. Identifies staffing needs. Evaluates and conducts employee performance evaluations, provides ongoing coaching and feedback, and provides input when determining pay.
  • 10.) May have individual contributor accountabilities in addition to main focus of people management. See Sr. Business Analyst job requirements
  • 11.) Initiates strategies to develop internal talent while balancing that effort with external hiring. Targets challenging developmental assignments that build individual confidence and organizational capability.
  • 12.) Assist staff to understand the organization's vision and values and their importance. Translates the vision and values into day-to-day activities and behaviors.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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