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Sr Ops Specialist

2 months ago

Knoxville, Tennessee, 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:

The Senior Operations Specialist in Networking is a subject matter expert (SME) on networking and dormant account creation of direct business products. This role serves as a key resource to the staff and management within the department, acting as a SME on all subjects and systems relevant to the department. This role works closely with all Service Center groups and various Operations groups as well as having regular contact with annuity carriers, mutual fund sponsors, and alternative investment providers.

Responsibilities:

  • Reviewing, validating, and processing Networking and De-Networking on Direct Business accounts across all business channels and across all product types
  • Coordinating with external third parties such as transfer agencies, alternative investment sponsors, annuity carriers, and mutual fund sponsors to update networking levels on directly held accounts
  • Creating and opening dormant accounts from activity data provided by the mutual fund companies and annuity carriers; assisting with related mergers and acquisition activities
  • Collaborating with internal Service Center partners as well as offshore partners to ensure accurate completion and satisfactory results on all requests received
  • Actively working to prevent escalations; when an escalation does occur, assuming a leadership role, managing the problem to completion with accuracy and efficiency
  • Working with staff and management to identify new and improved ways to process business that seek to increase department efficiencies and reduce wasteful activities to enhance LPL's value with customers
  • Creating and updating departmental training materials, processes, procedures
  • Assisting with Quality Control (QC) for work completed by Offshore partners

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:

  • Two or more years of experience in financial industry
  • One or more years of experience working with Microsoft Office, specifically Excel

Core Competencies:

  • Proficiency in Microsoft Office
  • Excellent oral and written communication skills, including customer service skills
  • Strong understanding of direct business networking for mutual funds, annuities, and alternative investments
  • Ability to reconcile and validate large amounts of data
  • Strong time management skills and the ability to effectively work under pressure in both individual and team based environment
  • Expert analytical research skills

Preferences:

  • Knowledge of BETA
  • Knowledge of VBA Macro
  • Bachelor's Degree
  • Knowledge of Dynamics and ClientWorks

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.

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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