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Sr. Operations Specialist - Client Compensation

Job ID: R-001150 Date posted: 12/05/2017 Primary Location CA-San Diego

This Senior Specialist position will function as a member of the Quality Assurance Team within Client Compensation. This role is primarily responsible for reviewing financial transactions across all areas of processing for completeness and accuracy. The Senior Specialist serves as the Subject Matter Expert on operational policies and procedures and must be an analytical thinker, capable of examining processes from multiple angles to ensure accuracy. This position is essential in ensuring that advisors and institutions receive accurate and timely compensation payments and reporting.

Essential Functions:

  • Review compensation transactions (commission and advisory files, billing, reimbursements, technology subscriptions, etc.) for completeness and accuracy
  • Identify and track processing errors and recommend process improvements to enhance quality
  • Validate data and verify transactions adhere to established policies and procedures
  • Ensure proper application of internal and regulatory standards and guidelines
  • Provide feedback to internal business partners to build departmental business acumen and resolve process discrepancies
  • Create and update procedural documentation and work flow documents and assist with periodic gap and risk analysis
  • Provide requested documentation for internal and external audits
  • Assist with projects and system enhancements as instructed by management

Desired Skills:

  • Team player and able to collaborate with peers and management
  • Flexible and willing to work additional hours to accommodate business needs
  • Advanced skills with Microsoft Excel (Pivot tables, V-lookups and other functions)
  • Able to prioritize and organize work to meet strict deadlines in a fast-paced environment
  • Highly self-motivated with the ability to perform complicated tasks with minimal supervision
  • Knowledge of Commissions, Billing, LPL reporting or technology products
  • Excellent problem solving, oral and written communication skills
  • Demonstrate proficiency in supporting business process improvements
  • Experience with Microsoft Access, Word, Outlook and PowerPoint
  • Oracle, Documentum, Siebel and BETA experience preferred


  • 3+ years of financial services experience preferred
  • College Degree or equivalent experience
  • FINRA licensing not required but a plus

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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