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Associate Vice President, Service Center

Company: LPL Financial
Location: San Diego
Posted on: January 16, 2019

Job Description:

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation's largest independent broker/dealer with over 15,000 financial advisors and over 4000 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

Joining our team as an Associate Vice President, Service Center you will be responsible for planning and directing projects to help build the sustainable, repeatable capabilities that support delivery of the highest standards of service and execution. This role will also include responsibility for leading special projects to drive more quality, scope, and scale in the offering. It may include management of multiple teams as well.

In this role, you will have the following responsibilities:

Advisor Management:

  • Handle Advisor escalations requests to resolution and using all available resources including the Service Escalation Team
  • Identify and lead proactive outreach initiatives to enhance the Advisor experience
  • Identify opportunities within team to improve the Advisor relationship; this includes managing team follow-up, Advisor expectations and delivering a service experience that enhances the Advisor relationship

    Employee Management:

    • Provide coaching on an on-going basis which provides guidance and embodies the Service Excellence standard for Team Leads and Associates
    • Facilitate and attend bi-weekly meetings with staff
    • Create and implement employee engagement activities
    • Develop a cohesive approach to service by setting consistent standards across teams; this includes leading and participating in calibration sessions, best practices reviews and resource sharing

      Internal Business Partners Management:

      • Partner with Business Development, Business Consulting and New Client Onboarding to identify and address Service gaps with Advisors
      • Own interactions between Operations and Advisors on complex operational transactions; this includes coordinating and leading meetings, acting as an ambassador for both LPL and the Advisor, monitoring and recording next steps
      • Lead bi-monthly POI meetings
      • Advocate and implement strategic plans as set by Executive management in accordance with business need
      • Participate in inter-departmental initiatives, corporate projects and seasonal programs as needed
      • Identify areas of risk and apply timely mitigation plan and strategy
      • Understand key operational initiatives, their impact to business volumes and develop continuity and contingency strategy

        Business Management

        • Ensure that the standards and goals for the Service organization are being met.
        • Assume delegate VP responsibilities in his/her absence
        • Serve as a mentor for Managers throughout CSS
        • Grade calls and SRs for staff in preparation for coaching
        • Monitor canvas and queues to regulate Service Levels
        • Develop and distribute materials relevant to policy and procedural updates
        • Manage team PTO and attendance
        • Attend to HR issues
        • Create and administer performance plans and performance reviews for Team Leads and Associates
        • Respond to emails
        • Attend/complete required and elective training both through LPLU and through external sources
        • Identify process improvement, lean opportunities and lead working teams on workflow mapping and streamlining
        • Participate in hiring of employees through the Centralized Hiring Team
        • Respond to audit inquiries, re-certification requests and attend required risk management meetings


          • 10 years of experience with a strong emphasis on service disciplines.
          • Bachelor, Master's preferred in business course of study
          • Strategic planning skills highly desirable
          • Ability to translate complex, ambiguous problems into executable solutions
          • People management experience preferred
          • Financial Services experience ideal, but not required
          • Process improvement experience and/or designations strongly preferred
          • Series 99 Required (or willing to obtain within 90 days); ability and willingness to obtain Series 7 and other regulatory licensing preferred
          • Must be flexible to work varying schedules and hours as needed
          • Strong oral and written communication skills and the ability to work independently are required to identify problems and implement solutions in a team environment

            About LPL Financial:

            LPL Financial is a leader in the retail financial advice market and the nation's largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

            Our Culture:

            If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.

            We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.

            Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

            *As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

            Keywords: LPL Financial, San Diego , Associate Vice President, Service Center, Executive , San Diego, California

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