Senior Operations Specialist, Rep MaintenanceApply Job ID: R-018677 Date posted: 11/22/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill
The Senior Ops Specialist role within Rep Maintenance will provide quality service to our Independent Advisors, Financial Institutions and RIA Firms by processing change of representative request for internal and directly held accounts as well as processing address updates for Advisors, Broker Dealer Change requests and updates to House rep ID. This role will also serve as a key resource to the staff and management within the department, acting as a SME on all subjects and systems relevant to the department.
The qualified candidate must have excellent telephone and customer service skills, demonstrate analytical research expertise and must be able to work under pressure in both individual and team based environments. This role works closely with all Service Center groups and various Operation groups as well as having regular contact with Annuity Carriers, Mutual Fund Sponsors, Alternative Investment providers, Financial Advisors and IS Channel Institutions.
- Review, validate and process Independent Advisor and Institution driven Rep Change requests on LPL and Direct Business accounts across all business channels
- Coordinate with external third parties such as Transfer Agents, Custodians, Annuity Carriers and Mutual Fund sponsors to update rep assignments on outside books of business in a timely manner
- Collaborate with internal Service Center partners to ensure accurate completion and satisfactory results on all requests received
- Process Improvement - Work with staff and management to identify new and improved ways to process business that seek to increase department efficiencies and reduce wasteful activities in an effort to enhance the value we provide to our customers.
- Responsibilities may include the creation and update of departmental training materials and processes and procedures.
- The Senior Operations Specialist will actively work to prevent escalations, and in instances where an escalation does occur, the individual will assume a leadership role, managing the problem to completion with accuracy and efficiency as top priorities. Attention to detail and problem solving skills are extremely important.
- Other assignments as required by Management
- Bachelor's Degree Preferred
- 2-3 years of minimum experience in Financial Industry is required
- Advanced knowledge of Microsoft Office required (Excel, Word, Outlook, Access etc.)
- Advance knowledge of BETA preferred
- Advance knowledge of Dynamics and Clientworks preferred
- Must have excellent oral/written communication skills
- Must be detail oriented, a team player and have the ability to effectively work in a fast paced/high volume environment under pressure
- Knowledge with VBA Macro preferred
- Strong time management skills
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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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 @lplfinancial.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.