LPL Financial
Overview
What if you could
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: The Corporate Action team comprises dividends, reorg, money market, proxies, restricted security, and cash & bank functionalities. Responsibilities
The Team Lead is responsible for leading and coordinating the department workflows, overseeing specialists and senior specialists, handling escalated issues, reconciliation, compiling metrics and assisting department management with evaluation of staff performance. The ideal candidate has excellent analytical skills and will be expected to review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items in a timely manner. Additionally, the ideal candidate will be a team player, possess excellent time management skills, and work well in a fast paced environment, with the ability to multi task with multiple operational processes and multiple data input platforms. The Team Lead will also assist the management team in establishing and monitoring Key Performance Indicators and savings. Lastly, they will be asked to assist with the daily review, quality control and approval of transactions as well. Service Management
- The Team Lead is responsible for handling escalated advisor and/or client issues. The Team Lead will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues. As needed the Team Lead may be asked to answer inbound calls from external departments, research and process service requests, and assist with timely resolution to escalations. Workflow Management -
The Team Lead is responsible for managing the day to day operations of the department with responsibilities including but not limited to re-allocating workloads for team members, evaluating volumes, assessing productivity, ensuring SLAs are met and providing daily/weekly metrics. They will additional be responsible for daily reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedures reviews and presentations to the staff. Cross-Training and Operation Procedures
- Managing cross training process to ensure that teams are following training and cross-training process. Ensure that procedures are maintained and periodically reviewed. Assess and provide recommendations to management on potential policy and procedures enhancements for the benefit of the department. Other Job Duties : Be proactive and remain cognizant of deadlines and regulatory requirements. Effective communication with advisors and other operational groups to resolve various account discrepancies. Coordinating business unit efforts to provide timely status updates and accurately resolve service requests. Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments. Evaluating and assessing inquiries; escalating issues that require expedited service. Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations. Investigating all instances where departmental service level agreements are not being met. Monitoring the team’s timely adherence to data quality protocols through dashboards and reports. Actively participates in learning activities in a way that makes the most of the learning experience by applying to daily responsibilities. Recognizes issues, problems, or opportunities and determines whether action is needed. Makes connections & offers creative recommendations on how to solve business challenges. What are we looking for?
The ideal candidate will have a
client-first customer service oriented mind-set
from a financial background, with
strong attention to detail, problem-solving skills , and
excellent verbal and written abilities . Candidate will be able to contribute positively to a
team-focused environment , driving both
growth
and
innovation . Requirements
3-5 years of industry experience (preferably financial services) in Operations, Compliance, and/or Service FINRA Series 99 (or Series 7) license Core Competencies
Ability to work independently in a fast paced environment with multiple priorities Ability to work with and communicate effectively to various levels throughout the organization. Ability to learn multiple aspects of the Financial Services industry and understand how it all connects Excellent verbal and written communication skills Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities Strong attention to detail with a pro-active approach to solving and preventing problems Preferences
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA) Bachelor Degree Pay Range:
23.47-$39.12/hour Actual 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 offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission:
We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work:
Our size is just right for you to make a real impact. Learn more here! Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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
@lplfinancial.com
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 (855) 575-6947. EAC1.22.25
#J-18808-Ljbffr
What if you could
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: The Corporate Action team comprises dividends, reorg, money market, proxies, restricted security, and cash & bank functionalities. Responsibilities
The Team Lead is responsible for leading and coordinating the department workflows, overseeing specialists and senior specialists, handling escalated issues, reconciliation, compiling metrics and assisting department management with evaluation of staff performance. The ideal candidate has excellent analytical skills and will be expected to review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items in a timely manner. Additionally, the ideal candidate will be a team player, possess excellent time management skills, and work well in a fast paced environment, with the ability to multi task with multiple operational processes and multiple data input platforms. The Team Lead will also assist the management team in establishing and monitoring Key Performance Indicators and savings. Lastly, they will be asked to assist with the daily review, quality control and approval of transactions as well. Service Management
- The Team Lead is responsible for handling escalated advisor and/or client issues. The Team Lead will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues. As needed the Team Lead may be asked to answer inbound calls from external departments, research and process service requests, and assist with timely resolution to escalations. Workflow Management -
The Team Lead is responsible for managing the day to day operations of the department with responsibilities including but not limited to re-allocating workloads for team members, evaluating volumes, assessing productivity, ensuring SLAs are met and providing daily/weekly metrics. They will additional be responsible for daily reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedures reviews and presentations to the staff. Cross-Training and Operation Procedures
- Managing cross training process to ensure that teams are following training and cross-training process. Ensure that procedures are maintained and periodically reviewed. Assess and provide recommendations to management on potential policy and procedures enhancements for the benefit of the department. Other Job Duties : Be proactive and remain cognizant of deadlines and regulatory requirements. Effective communication with advisors and other operational groups to resolve various account discrepancies. Coordinating business unit efforts to provide timely status updates and accurately resolve service requests. Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments. Evaluating and assessing inquiries; escalating issues that require expedited service. Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations. Investigating all instances where departmental service level agreements are not being met. Monitoring the team’s timely adherence to data quality protocols through dashboards and reports. Actively participates in learning activities in a way that makes the most of the learning experience by applying to daily responsibilities. Recognizes issues, problems, or opportunities and determines whether action is needed. Makes connections & offers creative recommendations on how to solve business challenges. What are we looking for?
The ideal candidate will have a
client-first customer service oriented mind-set
from a financial background, with
strong attention to detail, problem-solving skills , and
excellent verbal and written abilities . Candidate will be able to contribute positively to a
team-focused environment , driving both
growth
and
innovation . Requirements
3-5 years of industry experience (preferably financial services) in Operations, Compliance, and/or Service FINRA Series 99 (or Series 7) license Core Competencies
Ability to work independently in a fast paced environment with multiple priorities Ability to work with and communicate effectively to various levels throughout the organization. Ability to learn multiple aspects of the Financial Services industry and understand how it all connects Excellent verbal and written communication skills Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities Strong attention to detail with a pro-active approach to solving and preventing problems Preferences
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA) Bachelor Degree Pay Range:
23.47-$39.12/hour Actual 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 offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission:
We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work:
Our size is just right for you to make a real impact. Learn more here! Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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
@lplfinancial.com
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 (855) 575-6947. EAC1.22.25
#J-18808-Ljbffr