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Sr. Specialist, Client Compensation

Job ID: R-001152 Date posted: 12/29/2017 Primary Location CA-San Diego

The Sr. Specialist will be responsible for researching house entries, calling sponsors, navigating ComReg, submitting correction batches through offshore, tracking changes, etc. The ideal candidate needs strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.  This individual must be able to work in high stress environment to support delivery of Client Compensation and meet pay cycle deadlines.


  • Interact regularly with user groups to identify process improvement
  • Manage workflow and resources to meet Service Level Agreements.
  • Investigate misuse of fund processing and provide recommendations for enhanced procedures to reduce risk to the firm.
  • Periodic review of existing procedures, creating procedures for new processes, and develop initiatives towards process improvements.
  • Participate in meetings with peers, and management team as needed
  • Assist processors in identifying and analyzing gaps between current processes and the desired state.
  • Investigate unidentified compensations, includes but not limited to, advisor call our, sponsor call out, internal/another department networking, etc.
  • Participates in value stream analysis, 5 Why’s analysis, brainstorming sessions, etc. to identify root causes of challenges identified
  • Participate in discussions with business process owners to capture and analyze business and technical processes to formulate and develop new and modified business information processes with a combination of automated and manual solutions.


  • Participated in large technology and/or process improvement efforts
  • BA/BS in Business or 5 years financial services Industry experience required
  • Experience in a commissions/accounting department preferred
  • Strong leadership skills with proven ability to effectively lead cross-functional team
  • Exceptional ability to collect, analyze and interpret both qualitative and quantitative data
  • High energy self-starter; must be able to take the initiative with minimal guidance and be comfortable working both as an individual and as part of a team
  • Excellent communication skills, both written and oral
  • Excellent interpersonal, influence and analytical skills
  • Strong attention to detail
  • Effective organizational and time management skills, with ability to multi-task, and manage multiple on-going assignments
  • Excellent PC Skills, including MS Word, Excel, PowerPoint, Access, Outlook
  • Ability to work well under pressure
  • Ability to build strong working relationships
  • Strong presentation and team facilitation skills

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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