LPL Financial · 2 days ago
Team Lead, Corporate Actions
Tempe, AZ
Full-time
Onsite
Mid, Senior Level
$24.18/hr - $40.30/hr
3+ years expLPL Financial is a leading wealth management firm that empowers professionals to shape their success while helping clients pursue their financial goals. The Team Lead for Corporate Actions is responsible for leading department workflows, overseeing specialists, managing escalated issues, and ensuring service levels are met. This role requires excellent analytical skills and the ability to manage multiple operational processes in a fast-paced environment.
FinanceFinancial Services
Responsibilities
Leading and coordinating the department workflows
Overseeing specialists and senior specialists
Handling escalated issues, reconciliation, compiling metrics and assisting department management with evaluation of staff performance
Reviewing client accounts and answering questions from internal and external clients
Escalating items to management and following up on pending items in a timely manner
Assisting the management team in establishing and monitoring Key Performance Indicators and savings
Assisting with the daily review, quality control and approval of transactions
Managing the day to day operations of the department, including re-allocating workloads for team members, evaluating volumes, assessing productivity, ensuring SLAs are met and providing daily/weekly metrics
Daily reconciliations, managing error rates, exception review processing and daily reporting
Managing cross training process to ensure that teams are following training and cross-training process
Ensuring that procedures are maintained and periodically reviewed
Assessing and providing recommendations to management on potential policy and procedures enhancements for the benefit of the department
Be proactive and remain cognizant of deadlines and regulatory requirements
Effective communication with advisors and other operational groups to resolve various account discrepancies
Coordinating business unit efforts to provide timely status updates and accurately resolve service requests
Serving as the quality control point to ensure requirements and procedures are followed
Collaborating with other teams to align workflow expectations and commitments
Evaluating and assessing inquiries; escalating issues that require expedited service
Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations
Investigating all instances where departmental service level agreements are not being met
Monitoring the team’s timely adherence to data quality protocols through dashboards and reports
Actively participating in learning activities in a way that makes the most of the learning experience by applying to daily responsibilities
Recognizing issues, problems, or opportunities and determining whether action is needed
Making connections & offering creative recommendations on how to solve business challenges
Qualification
Required
3-5 years of industry experience (preferably financial services) in Operations, Compliance, and/or Service
FINRA Series 99 (or Series 7) license
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
Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
Excellent verbal and written communication skills
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
Preferred
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
Bachelor Degree
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Investment News
2026-01-22
Company data provided by crunchbase