Sr. Operations Specialist

LPL Financial•Charlotte, NC

4d•$17 - $28

About The Position

The Senior Operations Specialist for New Accounts ensures the highest quality standards across all operational functions, delivering exceptional service to advisors and clients. This position serves as a subject matter expert on operational policies and procedures, manages the review and maintenance of complex account paperwork, and executing quality control initiatives to proactively identify and resolve processing errors.

Requirements

1+ years of industry experience (preferably financial services) in Operations
1+ Year experience with BETA
Ability to work independently in a fast-paced environment with multiple competing priorities
Strong attention to detail with a pro-active approach to solving and preventing problems
Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
Excellent verbal and written communication skills

Nice To Haves

Proficiency in quality checks for letter review
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
Bachelor Degree preferred or equivalent work experience

Responsibilities

Reviewing and processing new account documentation
Maintaining accounts as required.
Ensuring proper application of compliance and regulatory policies and procedures.
Assisting with questions from advisors and internal and external business partners.
Researching complex situations and defining the actions necessary for resolution.
Contributing to continuous improvement of the client experience and efficiency by documenting quality issues, performance measures, and quality improvements for management review as required.
Engaging in Quality Control related tasks to identify and correct processing errors including Letter and court document review.
Handling escalations by both the Service Center and Advisors
Other assignments as required by Management