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Sr Ops Specialist

Job ID: R-004328 Date posted: 09/11/2018 Primary Location CA-San Diego

The Senior Operations Specialist will serve as a subject matter expert on operational policies and procedures and assist with information distribution regarding new accounts subject areas such as new account opening, review and acceptance of account paperwork, and account maintenance.

The ideal candidate will have strong attention to detail, excellent customer service skills both verbal and written, and be a team player with a positive attitude. Candidate must be capable of managing their day to day workload which will include fielding questions/inquiries from our internal partners, assisting with training needs, and must be accountable for accurate completion of multiple new account tasks.

Essential Functions:

  • Assists with questions from Financial Advisors and the Service Center with information distribution to various internal and external business partners.
  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards.
  • Documents quality issues, performance measures and quality improvements for management review.
  • Provides information to assist in giving feedback to employees and in the training of employees.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Internally interacts with frontline service center associates, peers and superiors at all levels and in all departments. Externally interacts with all customers - Advisors, Clients, and other vendors
  • Participates in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures.

Qualifications:

  • Minimum Education Preferred: BA/BS Degree and/or prior related work experience or knowledge of the financial services/securities industry
  • Minimum Experience Required: 3-5 years (focus: Financial Services)
  • Licenses/Certifications Preferred: Series 7, 66,
  • Software/Systems Skills Preferred:
  • Microsoft Office Suite required; MS Access & Excel is Preferred
  • Additional Information:
  • Effective Oral/Written Communication, Adaptability, Initiative, Customer Service, Drive for Results, ability to operate with minimal to no supervision

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