Manager OCI

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
 

Job Overview:

The OCI Manager will oversee the design, documentation, implementation and ongoing support of firm level mergers and acquisitions (M&A) for the CARE organization. The ideal candidate will have talent development experience and operational knowledge, specifically in asset transfers including registered representatives and customer accounts. The candidate must possess an understanding of data analysis, project management, reporting tools as well as strong technical skills to effectively analyze business requirements, track project status, and translate business/regulatory needs. This candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.

Responsibilities:

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

• Conduct regular meetings with on-site and cross-site staff

• Driving a performance management culture, achieving completion of timely mid-year and year-end self-evaluations and manager evaluations for all active employees

• Conduct vendor, regulatory, and risk oversight for all processes. Approve and Sign off management reports and process checklist.

• Support and contribute toward the successful execution of projects and initiatives that support LPL’s priorities

• Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.

• Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.

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

• Deliver the best personal and relevant client experience possible through operational and service excellence delivery and demonstration of sound business and financial management practices

• Developing quality service standards and processes to create a consistent service experience

• Technology and Systems Management – Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.

• Handle escalations stemming from conversion related activities

• Other assignments as required by Senior Leadership

Requirements:

• 3+ years of industry experience (financial services) in Operations

• Talent development experience. 1+ years progressive experience directing staff or leading project teams

Preferences:

• 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.

• Bachelor Degree Preferred

• Excellent verbal and written communication skills

Licenses/Certifications Preferred:
• Series 99 required, Series 7 preferred

Software/Systems Skills Required/Preferred:
• All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
• SQL

Soft Skills Required:
• Personable and reliable self-starter who requires minimal management oversight for day-to-day
work responsibilities
• Strong attention to detail with a pro-active approach to solving and preventing problems
• Ability to work under pressure/deadlines and manage multiple priorities
• Ability to interface effectively with various levels of employees
• Strong time management and organizational skills
• Highly motivated and able to adapt to changing priorities

#LI-EC

Pay Range:

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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.