Manager, Operations, Stock Records

Stock Records Manager

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.

Responsibilities include managing a team of approximately 10-12 Specialists, Senior Specialists & Associate analysts, establishing and maintaining quality assurance standards, working directly with internal audit and regulatory agencies, handling escalated advisor and client issues, coordinating between onshore and offshore teams, managing technology and systems projects, and providing strategic leadership.

The ideal candidate will have a client-first customer service oriented mindset from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Requirements include 3+ years of industry experience, ability to communicate effectively to senior leadership, financial professionals, and third party vendors, and a core competency in working independently in a fast paced environment.

Pay range : $66,788-$111,313 / year. Actual base salary varies based on factors including relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play.

LPL Financial Holdings Inc. is among the fastest growing wealth management firms in the U.S. 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.