Senior Operations Specialist, Account TransfersApply Job ID: R-010092 Date posted: 05/15/2020 Primary Location SC-Fort Mill
We are looking to hire a Senior Operations Specialist. The ideal candidate will have a strong attention to detail, excellent verbal and written skills and be a team player with a positive attitude. Responsibilities include reconciling, processing and statusing of transfers. In addition, the senior 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.
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 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:
- Participation in various projects and/or assignments as required.
- Subject matter expert on operational policies and procedures with extensive experience in mutual funds.
- 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 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.
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 @lpl.com 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.