LPL Financial
Manager, Operations, Stock Records
LPL Financial, Fort Mill, South Carolina, United States, 29715
Overview
The Stock Records Team is responsible for reconciling security positions held at LPL Financial in a broker controlled environment. Team provides quality service to our Independent Advisors, Financial Institutions and RIA Firms by running reports and analytics to look for any transfers, journals, dividends, trades, corporate actions or other transactions that might not be correct. The ideal candidate will be responsible for managing staff in a fast paced, detail-oriented environment with strict deadlines. This department is a dynamic cross-functional team that provides solutions while keeping lines of communication open with sponsors, transfer agents, contra firms, custodians, as well as a wide range of LPL departments. What you will do
Responsible for managing a team of approximately 10-12 Specialists, Senior Specialists & Associate analysts. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. Establishes and maintains quality assurance standards, procedures, and controls as it pertains to Stock Record processes. Work directly with internal audit and regulatory agencies for various audit activities. Handle escalated advisor and client issues through our department mailbox as well as LPL Service Professionals. Handles coordination between onshore and offshore teams. Technology and Systems Management - handle department projects including creation of new workflows, developing test scripts, performing QA, defect management and User Acceptance Testing as well as oversight of all project deliverables. Assist staff to understand the organization\'s vision and values and their importance. Translates the vision and values into day-to-day activities and behaviors. Provide strategic leadership while staying tactically close to the day-to-day operations Provide weekly status report of issues pertaining to department and/or employees Monitor and analyze department trends and errors to improve on training opportunities Conduct regular meetings with on-site and cross-site staff Other assignments as required by Senior Leadership 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+ years of industry experience (preferably corporate actions) in Operations Ability to effectively communicate to senior leadership, financial professionals, and third party vendors. SIE, and Series 99 or Series 7 required 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
2+ years of management experience All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel Experience with mutual funds products and reconciliation of mutual funds Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA), State Regulatory Departments, Bank regulated departments, or Audit experience Access database preferred Bachelor Degree preferred Pay Range:
$66,788-$111,313/year. 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 institutions, 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
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The Stock Records Team is responsible for reconciling security positions held at LPL Financial in a broker controlled environment. Team provides quality service to our Independent Advisors, Financial Institutions and RIA Firms by running reports and analytics to look for any transfers, journals, dividends, trades, corporate actions or other transactions that might not be correct. The ideal candidate will be responsible for managing staff in a fast paced, detail-oriented environment with strict deadlines. This department is a dynamic cross-functional team that provides solutions while keeping lines of communication open with sponsors, transfer agents, contra firms, custodians, as well as a wide range of LPL departments. What you will do
Responsible for managing a team of approximately 10-12 Specialists, Senior Specialists & Associate analysts. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. Establishes and maintains quality assurance standards, procedures, and controls as it pertains to Stock Record processes. Work directly with internal audit and regulatory agencies for various audit activities. Handle escalated advisor and client issues through our department mailbox as well as LPL Service Professionals. Handles coordination between onshore and offshore teams. Technology and Systems Management - handle department projects including creation of new workflows, developing test scripts, performing QA, defect management and User Acceptance Testing as well as oversight of all project deliverables. Assist staff to understand the organization\'s vision and values and their importance. Translates the vision and values into day-to-day activities and behaviors. Provide strategic leadership while staying tactically close to the day-to-day operations Provide weekly status report of issues pertaining to department and/or employees Monitor and analyze department trends and errors to improve on training opportunities Conduct regular meetings with on-site and cross-site staff Other assignments as required by Senior Leadership 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+ years of industry experience (preferably corporate actions) in Operations Ability to effectively communicate to senior leadership, financial professionals, and third party vendors. SIE, and Series 99 or Series 7 required 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
2+ years of management experience All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel Experience with mutual funds products and reconciliation of mutual funds Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA), State Regulatory Departments, Bank regulated departments, or Audit experience Access database preferred Bachelor Degree preferred Pay Range:
$66,788-$111,313/year. 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 institutions, 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
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