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Sr Ops Specialist

3 months ago

San Diego, California, United States LPL Financial Full time

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you

LPL Financial (NASDAQ: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

Documents & Imaging Services (DIS) provides imaging, indexing, document storage and retrieval, mail processing, research, and quality control services. The department also fulfills advisor requests via Form RE-BNDOC to retrieve soft copies of client documents; saves client account statements and updates data in the account management system to alert Operations that the account is ready for reconciliation; and performs user acceptance testing on Captiva, Documentum, and other advisory-facing applications for document submission.

The Senior Operations Specialist assists in receiving and processing, and retention of enterprise-wide documents for business partner processing. The role maintains productivity levels and provides daily hands-on supervision, problem-solving, and training support to their respective team and department via various required processes, in support of management. Additional responsibilities include reviewing and monitoring daily workflows in various processes according to established policies, procedures, and service levels. The Senior Operations Specialist also supports vendors, projects, and innovation.

Responsibilities:

  • Processing complex workflows while adhering to service level agreements (SLAs) and quality benchmarks.
  • Reviewing, evaluating, and monitoring the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites as required.
  • Developing into a subject matter expert (SME) on operational policies and procedures with focus on front-end processes to support business units.
  • Ensuring proper application of and compliance with internal and regulatory standards, guidelines, and procedures.
  • Collaborating with other SMEs to obtain key job knowledge that will help meet the specific business needs. Researching complex situations and determining the actions necessary to resolve the situation.
  • Assisting with project testing and implementation, including testing of Captiva and Documentum.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • High School Diploma or equivalent
  • Two or more years related operations or customer service experience
  • Proficient in Microsoft Office products

Core Competencies:

  • Excellent communication skills, verbal and written
  • Strong time management and ability to prioritize
  • Collaboration and relationship building skills
  • Critical thinking and complex problem solving ability

Preferences:

  • Bachelor's degree from an accredited college or university

Pay Range:

$18.41-$30.68/hourActual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offerWhy LPL?

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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We take social responsibility seriously. Learn more here

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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 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