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Account Transfers, Status Team - Sr Ops Specialist

Job ID: R-002971 Date posted: 05/09/2018 Primary Location SC-Fort Mill

Essential Functions:

Review, research, reconcile and/or process transfer requests and be able to expedite requests within the service level expectations.  Must be able to work at computer workstation for the majority of the day.  Attention to detail and problem solving skills are extremely important.  Effectively relay verbal and written information to Financial Advisors and contra firms on the status of transfer requests/fails, adding any additional requirements that may be needed to complete the transfer.  The qualified candidate must be able to handle inbound and outbound calls, and display utmost professionalism.  Assists with questions from internal departments, as well distributing information to various internal and external business partners. Provides feedback regarding work production and assists in training of employees. Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures. Acts as a resource to the department, and should be able to apply complex knowledge of the overall transfer process to resolve any inquiries received during normal day-to-day processing.

Other Job Duties:

  • Participation in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures with extensive experience in  mutual funds.

Job Requirements:

  • Bachelor's degree preferred with at least three years related to customer service and mutual fund operations experience. 
  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision

Licenses/Certifications: Series 7, 66 (or S63 & S65), 24 preferred

Software/Systems Skills:  Microsoft Office Suite required, BETA preferred

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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