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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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Sr Ops Specialist

Job ID: R-018839 Date posted: 01/13/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Job Description:

This position is part of the Account Transfers department in Service, Trading and Operations and will be a Senior Operations Specialist on the Alternative Investment Transfers team. This team is responsible for moving assets to LPL either systematically via Automated Customer Account Transfer (ACAT) system or manually as a non-ACAT. This team works closely with our Service Teams, Offshore business partners, different business units within Account Transfers and other financial institutions.

Essential Functions:

  • Review, research, process and initiate requests within expected service levels.
  • Perform quality assurance of requests processed by other team members Onshore and Offshore to ensure accuracy.
  • Ensure proper application of compliance and regulatory policies and procedures.
  • Support our service teams with questions on processed or pending requests.
  • Work with various Contra firms to ensure that requests are processed within acceptable timeframe.
  • Handle outbound calls with the Contra firms, Transfer Agents and Fund Sponsors.
  • Collaborate with Onshore and Offshore teams in processing requests and problem resolution.
  • Contribute to continuous improvement of client experience and efficiency
  • Assist in various company initiatives.
  • Update job knowledge by participating in educational opportunities.
  • Additional tasks may be assigned to match changing business needs.


  • 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 internal clients and different levels of management.
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands and tight deadlines.
  • 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.
  • Attention to detail and excellent problem solving skills.
  • 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.
  • Must be self-motivated and effectively cope with changing environments.
  • Develop resourceful solutions to challenging situations.
  • Demonstrates self-reliance, dependability and accountability.
  • Ability to respond quickly to new instructions, situations, methods and procedures and display an exceptional ability to learn new methods.
  • Bachelor's Degree Preferred

Software/Systems Skills:

  • Proficient in Microsoft Office Suite.
  • Advanced skills in Excel and Access preferred.
  • Knowledge of LPL systems such as Documentum, Beta and ATDB a plus

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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