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Account Transfers Specialized Sr Service Professional

Job ID: R-005261 Date posted: 12/18/2018 Primary Location SC-Fort Mill

The ideal candidate will possess skills of strong attention to detail, excellent telephone customer service, verbal, written skills and be a team player with a positive attitude. The Senior Operations Specialist will be required to take inbound calls from the Service360 teams, General Service Center, and CCS Service Center and act as a Point of Integration (POI). The Senior operations specialist will also be responsible for reviewing both simple and complex Account Transfer request submitted through Siebel Service Request and take the necessary actions for resolution.

The Senior Service Professional must act as a subject matter expert on operational policies and procedures, including assisting advisors with general inquiries. Provide outstanding service while acting as a resource to internal and external business partners handling escalated items, and assisting with information distribution. 

Essential Functions:

  • Answer inbound calls with questions mainly from internal colleagues, and occasionally external advisors, and help with information distribution to various internal and external business partners.
  • Internally interacts with frontline service center associates, peers and superiors at all levels and in all departments. Externally interacts with all customers - Advisors, Clients, and other vendors
  • Documents quality issues, performance measures and quality improvements for management review.
  • Provides information to assist in giving feedback to employees and in the training of employees.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Participates in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures.
  • Provide assistance and back up other team members with various projects, tasks or cross training needs

Other Job Duties:

  • Partner with other operation groups (ie New Accounts, Margins, Move Money, Service Center, etc) to ensure the client request is handled timely and accurately in addition to providing excellent customer service.
  • Provide feedback, status and updates to management on outstanding issues, escalations and to improve advisor experience and operation efficiencies.


  • Minimum Education Preferred: BA/BS Degree and/or prior related work experience or knowledge of the financial services/securities industry
  • Minimum Experience Required: 2-3 years
  • Licenses/Certifications Preferred:
  • Software/Systems Skills Preferred:
  • Microsoft Office Suite required; MS-Office / Outlook Preferred& BETA Preferred
  • Additional Information:
  • Effective Oral/Written Communication, Adaptability, Initiative, Customer Service, Drive for Results, Ability to operate with minimal to no supervision, Innovative Thinker, Self-Motivated and Time Management

The Empowerment of Your Role

LPL is transforming our culture and our commitment to the ease of doing business. Making it easier for advisors to do business with us is our No. 1 priority. No matter what your role or department, at LPL we all own this. Knowing this we are all empowered to make things simpler and do what is best for advisors and their investors.

The Quality You Deliver

At LPL financial, our work makes a difference. That is why we share a passion for doing it ethically and exceedingly well. Because we have a clear focus and we are empowered to deliver results, we see every day that we are creating something special together.

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.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove