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Account Transfers, Status Team - Sr Ops Specialist

Job ID R-001410 Date posted 09/12/2017

Essential Functions:

Review, research, reconcile and/or process transfer requests and be able to expedite requests to the appropriate areas to continue meeting 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:

  • Participation in various projects and/or assignments as required.
  • Subject matter expert on operational policies and procedures with extensive experience in  mutual funds.

Qualifications:

Job Requirements:

  • 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

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Service and Operations, San Diego, California, United StatesRemove