LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
Job Overview:
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.
Responsibilities:
- 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.
- Participation in various projects and/or assignments as required.
- Subject matter expert on operational policies and procedures with extensive experience in mutual funds.
What are we looking for?
We want a strong collaborator who has excellent communication skills, someone who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
- Bachelor's degree preferred with at least three years related to customer service and mutual fund operations experience.
Core Competencies:
- High energy self-starter; must be able to take the initiative with minimal guidance and be comfortable working independently and as part of a team
- Excellent communication, organization, and time management skills, with ability to multi-task and manage multiple on-going assignments
- Strong quantitative and qualitative analytical skillset for with high attention to detail
Preferences:
- Microsoft Excel – Compiling data, formatting data and spreadsheets, and executing calculations/formulas.
- Microsoft Access – Comfortable with accessing and managing various databases.
- Microsoft Outlook – Sending/receiving emails and setting up/attending outlook meetings
- BETA – Books and Records platform where we perform most of our duties
Pay Range:
$17.85-$26.77/hour
The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.
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 @lplfinancial.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.
