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Sr Ops Specialist

3 months ago

Tempe, Arizona, United States LPL Financial Full time

Are you passionate about serving clients, adding value, and improving processes/systems? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? 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:

Operations encompasses several fast-paced departments that process and execute client account transactions. From account transfers, to opening new accounts, to wire disbursements and beyond, Operations offers a multitude of opportunities for processing, onboarding, quality control, and providing exceptional client service.

Responsibilities:

  • Processing complex workflows while adhering to service level agreements (SLAs) and quality benchmarks.
  • Assists in receiving and processing, and retention of enterprise-wide documents for business partner processing.
  • 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.
  • Researching complex situations and determining the actions necessary to resolve the situation
  • Handling inbound and outbound calls and the team mailbox; working with advisors, clients, and other third party institutions to research various transactions and ensure compliance with stated policies and procedures.
  • Reviewing and investigating potential suspicious activity as derived from the variety of systems, including suspected money laundering or structuring of financial transactions to avoid government reporting requirements
  • Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests.
  • Regularly contribute to root cause problem solving sessions to continuously improve processes.
  • Perform quality control functions to ensure standard work is taking place.
  • Share pain points with leadership and business partners to find solutions and pursue process improvements.
  • Act as a resource to the department and be able to apply complex knowledge of the overall process for inquiries received from internal and external customers and vendors about the overall transfer process.
  • Ad hoc responsibilities that arise which will promote continuous improvement and transform the business

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:

  • Experience in the financial industry and/or processing in a high volume and deadline-driven environment
  • Service-oriented in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company

Core Competencies:

  • Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines
  • Demonstrates accuracy and thoroughness in performing work assignments
  • Ability to develop positive working relationships and works well in a team setting

Preferences:

  • Bachelor's degree preferred or at least three years' experience in Brokerage Operations
  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision.

Why 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.

Want to hear from our employees on what it's like to work at LPL? Watch this

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here.

Pay Range:

$16.73-$27.88/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.

Want to hear from our employees on what it's like to work at LPL? Watch this

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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