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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Operations Specialist - Account Transfers

Job ID: R-019196 Date posted: 11/11/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

The ideal candidate will have strong attention to detail, excellent verbal and written skills, and be a team player with a positive attitude. Responsibilities include reconciling, processing, and status of transfers. In addition, the operations specialist will be responsible for the ongoing assessment, tracking, and reporting of quality and accuracy of assigned processes. Provide outstanding service while acting as a resource to internal and external business partners handling escalated items, and assisting with information distribution.

There will also be a strong focus on cross-training to learn functions of multiple groups within the Account Transfers department, and Operations as a whole.

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 a computer workstation for the majority of the day.  Attention to detail and problem-solving skills are extremely important.  Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests/fails or 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 and Service Center as well as assisting with information distribution to various internal and external business partners. 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. Acts as a resource to the department and be able to apply complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors about the overall transfer process.

Other Job Duties:

  • Participate in various projects and/or extra daily assignments as required.
  • Be established as a Subject Matter Expert on operational policies/procedures and use that knowledge to train new-hires.


  • Bachelor's degree preferred or 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
  • Experience in the financial industry and/or processing in a high volume and deadline-driven environment
  • Service-oriented in working with various groups such as clients, other firms, service team, Offshore partners, and various business units within the company
  • Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines
  • Can maintain a high level of output and achieve results without sacrificing quality
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment
  • Demonstrates accuracy and thoroughness in performing work assignments
  • Ability to analyze information and strong reporting skills
  • Ability to develop positive working relationships and works well in a team setting

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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 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 (800) 877-7210.

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