Mgr, Operations

Job Overview:

The Estate Services Operations Manager is responsible for leading a team of associates and the supervision of inheritance distribution processes for quality, adherence to risk and regulatory requirements when reviewing and approving client and business partner transactions. We are seeking a candidate who has previous banking and or broker-dealer experience, specifically in cash/banking or estate operations. The ideal candidate will need to aide in the design, implementation and ongoing support of various projects and process improvements activities. This position requires a strong leader who can identify, develop and lead a diverse team responsible for delivering on our Mission and Values.

Responsibilities:

• Oversee the team and manage activities related to operational inheritance distributions. This includes handling phone calls from internal partners and advisors regarding the inheritance distribution process, as well as processing requests by reviewing paperwork and documents for asset and cash transfers.

• Provide ongoing support, coaching, feedback and developmental opportunities to address team members needs in order to engage them and help them be more effective and successful

• Drive a performance management culture to ensure associates are able to meet organizational goals.

• Support in creation, modification, implementation and oversight of controls, risk mitigation tactics and strategies.

• Creates and supports a team culture of continuous improvement by identifying new and betters ways to do things.

• Understand and interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments

• Deliver an exceptional advisor and client experience possible through operational and service excellence delivery

• Create and foster partnerships across the organization to support and meet shared objectives

• Handle escalations and inquiries by Service partners, Advisors and key business 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:

• 3-5 years of experience in financial services industry preferred or prior supervisory experience required.

• Bachelor’s degree or equivalent business experience required

• Proficient technical skills, including knowledge of Microsoft applications

• Experience with regulation and rules pertaining to Retirement account contributions and distributions

• SIE and Series 7 or 99 license or ability to acquire

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

• Experience with Lean Problem Solving and other Lean methodologies

• Excellent verbal and written communication skills

• Strong analytical and influencing skills with the ability to develop creative solutions for complex problems.

• Strong attention to detail with a pro-active approach to solving and preventing problems

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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

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.

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