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Sr. Ops Specialist-Death & Divorce Specialized

Job ID: R-005177 Date posted: 02/01/2019 Primary Location CA-San Diego

Essential Functions:

  • Processing – Responsible for processing receipt transactions that are (NIGO) Not in Good Order, processing journal request, and monitoring/handling the disbursement work queues to process various disbursement requests. Divorce and Death Claim processing will also be required, along with some tax operations processing.
  • Complex Document Review-Responsible for reviewing documentation such as Letters of Testamentary, Trust Agreements, QDRO, Divorce Decrees and other estate related paperwork as it pertains to both death and divorce.
  • Escalation Review-When necessary, will handle escalated issues and be directly in contact with advisors or internal staff.
  • Continuous Learning- Keeping up to date on new processes and controls, actively participating in daily huddles and monthly department and other meetings.

Job Requirements:

  • •3-4 years brokerage/financial services industry knowledge
  • Effectively verbal and written communication skills
  • Ability to adapt to change
  • Ability to work independently as well as in a team
  • Ability to problem solve, articulate requirements and escalate when necessary
  • Strong attention to detail with a high degree of accuracy and consistency
  • Executes given tasks timely and accurately

Preferred Qualifications:

  • FINRA Series 7/66

Education Requirements:

  • Bachelor’s Degree; preferably in Business, Accounting or Finance
  • Microsoft Office (Word, Excel, Access, Power Point) BETA (Mainframe) Documentum Siebel Sharepoint

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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Area(s) of InterestChoose at least one job category and/or location.

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