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Ops Specialist

Job ID: R-001884 Date posted: 12/04/2017 Primary Location CA-San Diego

The Client and Government Reporting team comprises of cost basis and tax reporting functionalities. The tax reporting component ensures that all Internal Revenue Service (IRS) client tax reporting forms are issued and mailed in an accurate and timely manner.  The cost basis component is responsible for the receipt, maintenance and delivery of tax lots used to calculate cost basis.

Responsibilities:

  • Analytical skills to review accounts and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures as well as reconcile suspense accounts and validate transactions
  • Answer inbound calls from the Service360 teams, General Service Center, and CCS Service Center. Research and process service requests that are created by Service360 teams, General Service Center, and CCS Service Center
  • 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.
  • Effective communication with advisors and other operational groups to resolve various account discrepancies.
  • Be proactive and remain cognizant of deadlines and regulatory requirements.
  • Recognizes issues, problems, or opportunities and determines whether action is required.
  • Makes connections & offers creative recommendations on how to solve business challenges.

Qualifications:

  • 2+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • Ability to work independently in a fast paced environment with multiple priorities
  • Ability to work with and communicate effectively to various levels throughout the organization.
  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
  • Bachelor Degree Preferred
  • Excellent verbal and written communication skills

Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)

Soft Skills Required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

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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