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Operations Manager, Account Transfers

Job ID: R-009076 Date posted: 03/04/2020 Primary Location CA-San Diego

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
  • SIE and Series 99 required or must be willing to obtain within 90 days
  • Proficiency in Microsoft Office required (Including Excel, Word & PowerPoint)

Essential Functions

  • Staff Management - The Manager is responsible for hiring, training, and motivating 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.
  • 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.  
  • 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

  • Must be proactive and remain cognizant of deadlines and regulatory requirements.
  • Effective communication with advisors and other operational groups to resolve various account discrepancies.
  • Coordinating business unit efforts to provide timely status updates and accurately resolve service requests
  • Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments.
  • Evaluating and assessing inquiries; escalating issues that require expedited service
  • Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations
  • Investigating all instances where departmental service level agreements are not being met
  • Monitoring the team’s timely adherence to data quality protocols through dashboards and reports
  • 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.
  • May have individual contributor responsibilities in addition to main focus of people management. See Sr. Business Analyst job requirements
  • Initiates strategies to develop internal talent while balancing that effort with external hiring. Targets challenging developmental assignments that build individual confidence and organizational capability.
  • 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.

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 @lpl.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.

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  • Service and Operations, San Diego, California, United StatesRemove