Senior Operations Specialist

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The Sr. Operations Specialist supports the daily functions of the New Accounts Operations team by performing complex operational tasks, resolving escalated service issues, and ensuring accurate and timely processing of account-related activities. This role serves as a senior individual contributor and subject matter expert, assisting with SQL queries, MFSC reporting, supporting Manager Select accounts, monitoring workflows, and contributing to process improvements. The Sr Operations Specialist partners closely with peers, management, and cross-functional teams to promote operational efficiency, quality service delivery, and compliance with firm policies and regulatory requirements.

Responsibilities:

• Handle and resolve complex client service requests, operational issues, and data-related inquiries with minimal supervision.
• Support advisor and money manager service requests and inquiries case management systems and email.
• Execute SQL queries to support reporting needs, data validation, and operational analysis.
• Monitor daily workflows to ensure tasks are completed accurately, timely, and in accordance with standard procedures.
• Perform account maintenance, system updates, and documentation reviews to ensure accuracy, consistency, and compliance.
• Serve as a point of escalation for moderately complex issues and collaborate with internal partners to drive resolution.
• Assisting as backup coverage for Mutual Fund Share Class reviews.
• Assist with onboarding and training of new team members and provide informal peer support and knowledge sharing.
• Participate in cross-functional projects and operational initiatives aimed at improving efficiency, quality, and client experience.
• Ensure adherence to firm policies, procedures, and applicable regulations through consistent execution and issue identification.
• Contribute to the maintenance and enhancement of standard operating procedures and process documentation.
• Support reporting, audits, and quality reviews by ensuring data accuracy, documentation completeness, and process transparency.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• 2+ years of experience in financial operations, account servicing, or client service.
• 1+ years of experience with Manager Select accounts

Core Competencies:

• Strong attention to detail and analytical thinking.
• Effective written and verbal communication skills.
• Dependable, proactive problem-solver with a strong sense of ownership.
• Well-organized with strong time management and prioritization skills.
• Collaborative team player who works effectively across departments.
• Solid understanding of operational workflows, controls, and compliance requirements.
• Ability to manage multiple priorities and work effectively in a fast-paced, deadline-driven environment.

Preferences:

• Must have experience in BETA, BART (MAOMMC), ADIET, Documentum, Oracle Commissions, the Smartsheet and Excel/Outlook, TPD Admin.
• Proficiency in Microsoft Excel and familiarity with data tools, reporting platforms, or case management systems.
• Ability to identify process inefficiencies and suggest practical improvements.
• Financial services or operations background with a focus on accuracy, service excellence, and compliance.
• Experience communicating directly with advisors, clients, or internal stakeholders by phone and email.

 

Pay Range:

$17.23-$28.72/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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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 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.

EAC 5.19.26