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Senior Operations Specialist, Account Transfers

Job ID: R-008755 Date posted: 04/09/2020 Primary Location SC-Fort Mill

Position Summary:

The Sr Ops Specialist is a full time role located in San Diego, CA reporting to James Davis (Manager, Account Transfers). The Account Transfers department is responsible for all asset transfer activity into our out of LPL. This position supports the incoming transfer team by following up on requests sent to 3rd parties and the outgoing transfer team by fielding calls from third parties following up on their requests to LPL.

Essential Job Duties:

  • 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. 
  • Effectively communicate verbal and written information to Financial Advisors and contra firms on the status of the transfer requests, plus any other additional requirements that may be needed to complete the transfer. 
  • Handle inbound and outbound calls, and display utmost professionalism. 
  • Assist with questions from internal departments and Service Center, as well as assist with information distribution to various internal and external business partners.
  • Ensure proper application of, and compliance with, internal and regulatory standards, guidelines and procedures.
  • Act 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.

Minimum Requirements:

  • Attention to detail and problem solving skills
  • Problem solving skills
  • Effective oral/written communication skills
  • Ability to multi-task and adapt in high paced environment
  • Proficiency with Microsoft Office Suite (focus on Excel)

Preferred Qualifications:

  • 1-2 years related customer service and/or Financial Services experience, particularly in a call center environment
  • Experience with BETA/TPX and Documentum software


  • Bachelor’s degree 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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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