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Senior Operations Specialist, Corporate Actions

Job ID: R-010067 Date posted: 05/14/2020 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Corporate Action team comprises of Corporate Action, Dividends, Money Market, Proxy, and Restricted Security functionalities. The position will be responsible for reconciling reports, process and answering calls. Additionally while performing basic financial and/or regulatory functions, will ensure compliance with all prescribed internal policies and regulatory practices. The ideal candidate has excellent data entry skills (both numeric and alpha)  is accurate and timely and will be expected to review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items in a timely manner. Additionally, the ideal candidate will be a team player, possess excellent time management skills, and work well in a fast paced environment, with the ability to multi task with multiple operational processes and multiple data input platforms.

Responsibilities:

  • Analytical skills to review accounts and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures.
  • Reconcile reports, process, and validation of proxy notices, including new notices and return mails.
  • Answer inbound calls from the advisors, 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. 
  • 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


Licenses/Certifications Preferred:

Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, 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

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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