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Senior Operations Specialist - Corporate Actions Specialized Service Team

Job ID: R-005032 Date posted: 11/08/2018 Primary Location CA-San Diego

The primary role of the Specialized Service Team Rep, Corporate Actions is to develop a strong relationship with our professional clients by offering an outstanding service experience.  Performing in a team environment, the SST Rep is expected to provide subject matter expertise on department technologies, policies, practices and initiatives to create transparency, understanding and expectations for our clients.  Topics covered by the SST Rep include, but are not limited to; mandatory and voluntary reorganizations, dividends, ESOPs, Restricted Securities, money markets and insured cash accounts.  At LPL Financial you’ll build relationships with our clients and your support teams while building your career and delivering on our mission to enable our clients to focus on what they do best — create the personal, long-term relationships that are the foundation for turning life’s aspirations into financial realities.

Specific responsibilities include:

  • Communicating directly with our clients (Financial Advisors/Professionals) by phone for up to 90 percent of your day
  • Research complex situations, set client expectations, and define the actions necessary to resolve inquiries
  • Educate clients on the use of Corporate Action department specific technology to monitor, maintain, and service their operational needs
  • Provide accurate and timely information regarding high-risk Corporate Action events to ensure successful client utilization of the Corporate Action Tool.
  • Communicate operational and financial industry policies and procedures
  • Assume ownership of inquiries and see them through to a timely resolution
  • Adhere to compliance/risk procedures and exhibit detailed attention to policies while maintaining focus on investors’ best interest
  • Complete operational tasks including data input and request processing.
  • Communicate with internal colleagues within the department to ensure we meet our clients expectations for accurate and timely service delivery
  • Actively participate in training to remain current with operational policies and procedures
  • Drive customer experience to high levels of satisfaction by adhering to our corporate values


    Qualifications:

  • Corporate Actions experience a plus
  • Associates degree required, Bachelors a plus
  • Series 7 a plus
  • Demonstrated effective use of consultative skills, PC Skills and system knowledge
  • Strong customer focus, excellent communication skills, a strong work ethic, and extremely organized
  • Ability to work with all levels of clients, management and employees


    We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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