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Senior Specialist, Client Technology Management

Job ID: R-007547 Date posted: 09/13/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill
  • Job Responsibilities:

    Support first call resolution efforts by taking client calls approximately 30-40 per day from Financial Advisors, their assistants, and LPL internal Service Associates. Associates will make outbound calls to other departments as necessary regarding issues associated with advisor technology needs. Associates must be able to understand the technology product offering at LPL and the risks, fees, and operational tasks for the products that CTM provisions. Associates must also understand and be able to explain the operational requirements and LPL Financial policies that govern the products we support and ensure compliance with product guidelines, LPL Financial policies, and regulatory requirements.

Essential Functions:

  • Process Subscription requests and client requests
  • Maintain Changes, Cancellations and Terminations of customer access to LPL software
  • Process Special Subscription Offers
  • Work with multiple teams including but not limited to: Registration and Tech Support
  • Assist in various initiatives which may involve reporting, system enhancements, user acceptance testing , data analysis, new office onboarding, migration efforts and other needs as they arise
  • Handle day-to-day escalations from advisors and various departments
  • Evaluate existing processes and develop initiatives towards process improvements
  • Support audit requirements and assist in establishing controls in minimizing risk
  • Update job knowledge by participating in educational opportunities
  • Additional tasks to match changing business needs


  • 2-3 years of Financial Industry Experience
  • Bachelor’s Degree preferred
  • Software/Systems Skills Required: Microsoft Office Suite with advanced skills in Word and Excel, Oracle, Documentum and Siebel
  • Software/Systems Skills Preferred: ASAT, Salesforce, Visio, Adobe Professional
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment
  • Effective and proactive communicator with strong verbal and written communication skills especially when dealing with various groups and in all levels of management
  • Excellent interpersonal skills with the ability to interact with various levels of personnel in addition to encouraging and building positive relationships
  • Exercises judgment within broadly defined practices and policies in selecting methods, techniques and evaluation for obtaining results
  • Ability to manage multiple assignments
  • Attention to detail and ability to analyze information
  • Excellent problem solving skills that affect daily operational matters
  • Thorough documentation skills and ability to document new processes
  • Must be self-motivated and effectively cope with changing environments

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
  • Service and Operations, Fort Mill, South Carolina, United StatesRemove