Senior Operations Specialist, New Accounts (POI)
LPL Financial Services - Charlotte, NC

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Position Summary :

The ideal candidate will demonstrate strong attention to detail, excellent telephone customer service, both verbal and written, and be a team player. Candidate must be capable of managing Service Requests, closing and maintaining of accounts, including assisting our Service 360 Teams and General Service Center partners both in Charlotte and San Diego with escalated inquiries and updates. The Senior Operations Specialist (POI) must act as a subject matter expert on operational policies and procedures, including assisting Financial Advisors with general inquiries. Provide outstanding service while acting as a resource to internal and external business partners handling escalated items, and assisting with information distribution.

Essential Functions:

  • Assists with questions from Financial Advisors, Service Center, and assisting with information distribution to various internal and external business partners.
  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards.
  • Documents quality issues, performance measures and quality improvements for management review.
  • Provides feedback to management in the overall assessment of employees and ongoing training needs.
  • Ensures proper compliance with both, internal and regulatory, standards, guidelines and procedures.
  • Other Job Duties:

    1. Participation in various projects and/or assignments as required.

    2. Subject matter expert on operational policies and procedures.


    Minimum Education Preferred: BA/BS Degree and/or prior related work experience or knowledge of the financial services/securities industry

    Minimum Experience Required: 3-5 years (focus: Financial Services)

    Licenses/Certifications Preferred: Series 7, 66, 24

    Software/Systems Skills Preferred: Microsoft Office Suite required; MS

    Access & Beta is Preferred

    Additional Information:

    Internal interaction with frontline service center associates, peers and superiors at various levels spanning across many departments. External interaction with Advisors, Clients, and vendors

    Other Skills required for the position:

    Effective Oral/Written Communication, Adaptability, Initiative, Customer Service, Drive for Results.

    LPL Financial Services - 16 months ago - save job - copy to clipboard - block
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