Overview
On Site
USD 66,788.00 - 111,313.00 per year
Full Time
Skills
Organizational Skills
Lean Management
Internal Control
Risk Management
Coaching
Training
Mentorship
Innovation
Continuous Improvement
Regulatory Compliance
Policies and Procedures
Collaboration
Analytical Skill
Conflict Resolution
Problem Solving
Attention To Detail
Organized
Financial Services
Back Office
AML
Lean Methodology
Communication
Microsoft Excel
Microsoft PowerPoint
EMC RSA Archer
Data Visualization
Tableau
SQL
Microsoft Office
Dynamics
RIA
Business Model
Management
Customer Relationship Management (CRM)
Brokerage
Leadership
FOCUS
Insurance
Finance
Credit Cards
Human Resources
Job Details
Summary:
The New Account Operations Manager will focus on the execution of processes ensuring adherence to regulations, policies, and procedures. Responsible for analysis and verification of data related to the customer identification program and throughout the account lifecycle. Leads team of individuals who are responsible for delivering operational support within the New Accounts Operations department. Responsible for providing direction to the Customer Identification Program (CIP) Resolution and Client Account Closure teams. Tasks include providing day to day management to the teams, planning, organizing, and implementing processes and controls to achieve the goals set forth by leadership. Serves as key liaison between the team, department leadership, vendors and key business partners including Compliance, Service, Product and Technology. Actively participates in the development and implementation of strategic initiatives using Lean Management principles. Responsible for creating and maintaining internal controls and risk management practices.
Responsibilities:
Supervise the daily operations of assigned departments; ensure quality service provided to clients/investors, business partners, and employees.
Lead and develop high performing teams through effective coaching, training, and mentoring.
Foster a culture of collaboration, innovation, and continuous improvement across the organization.
Coordinate communication between leadership and various levels throughout the firm.
Ensure compliance with all regulatory requirements and internal policies and procedures.
Facilitate the coordination of projects and special assignments as directed by senior management.
Qualifications:
Bachelor's degree or 5+ years relevant financial services work experience.
Core Competencies:
Strong analytical and problem-solving skills.
Self-motivated individual who works well independently and in a group setting.
Detail oriented and organized with strong time management skills.
Preferences:
Experience working within the financial services industry (strongly preferred with Back Office experience).
Knowledge/experience of AML (specifically CIP)
Knowledge/experience of implementing Lean methodologies
Proven track record of successfully leading cross functional teams.
Demonstrated ability to coach, motivate, and empower others to take action.
Excellent written and verbal communication skills.
Ability to present ideas clearly, concisely, and persuasively.
Highly proficient computer skills with knowledge of Microsoft Office Suite applications (Word, Excel, PowerPoint).
BETA, Archer, Smart Sheet, Data visualization tools (ex. Tableau), Data query tools (ex. SQL), MS office suite products, MS Dynamics, Box
Pay Range:
$66,788-$111,313/year
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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
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 .
EAC1.22.25
The New Account Operations Manager will focus on the execution of processes ensuring adherence to regulations, policies, and procedures. Responsible for analysis and verification of data related to the customer identification program and throughout the account lifecycle. Leads team of individuals who are responsible for delivering operational support within the New Accounts Operations department. Responsible for providing direction to the Customer Identification Program (CIP) Resolution and Client Account Closure teams. Tasks include providing day to day management to the teams, planning, organizing, and implementing processes and controls to achieve the goals set forth by leadership. Serves as key liaison between the team, department leadership, vendors and key business partners including Compliance, Service, Product and Technology. Actively participates in the development and implementation of strategic initiatives using Lean Management principles. Responsible for creating and maintaining internal controls and risk management practices.
Responsibilities:
Supervise the daily operations of assigned departments; ensure quality service provided to clients/investors, business partners, and employees.
Lead and develop high performing teams through effective coaching, training, and mentoring.
Foster a culture of collaboration, innovation, and continuous improvement across the organization.
Coordinate communication between leadership and various levels throughout the firm.
Ensure compliance with all regulatory requirements and internal policies and procedures.
Facilitate the coordination of projects and special assignments as directed by senior management.
Qualifications:
Bachelor's degree or 5+ years relevant financial services work experience.
Core Competencies:
Strong analytical and problem-solving skills.
Self-motivated individual who works well independently and in a group setting.
Detail oriented and organized with strong time management skills.
Preferences:
Experience working within the financial services industry (strongly preferred with Back Office experience).
Knowledge/experience of AML (specifically CIP)
Knowledge/experience of implementing Lean methodologies
Proven track record of successfully leading cross functional teams.
Demonstrated ability to coach, motivate, and empower others to take action.
Excellent written and verbal communication skills.
Ability to present ideas clearly, concisely, and persuasively.
Highly proficient computer skills with knowledge of Microsoft Office Suite applications (Word, Excel, PowerPoint).
BETA, Archer, Smart Sheet, Data visualization tools (ex. Tableau), Data query tools (ex. SQL), MS office suite products, MS Dynamics, Box
Pay Range:
$66,788-$111,313/year
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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 .
EAC1.22.25
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.