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Lead Operations Specialist, Account Transfers

Job ID: R-008785 Date posted: 02/04/2020 Primary Location CA-San Diego

The Lead provides daily, hands-on supervision, problem-solving, and training support to their respective team and department required processes to include vendor partner support and analysis as required. The Lead reviews and monitors daily workflow in various processes according to established policies, procedures, and service levels.

The Lead provides and presents weekly and monthly quality, productivity, supervisory controls, and volume statistics and/or reports to the leadership team to include all sites and vendor performance as required.

Essential Functions:

  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites as required. Allocate work amongst processing team to ensure daily, weekly and monthly service level expectations are being attained.
  • Must have the ability to communicate complex issues both in-writing and verbally to management and internal/external vendors and customers. Must be able to provide oversight of existing processes and mitigate risk against future firm impact.
  • The Lead will provide timely coaching to appropriate vendor partners related to processing, problem resolution, daily reconciliation, and customer service approaches.
  • Subject matter expert on operational policies and procedures with main focus on overall transfer process, including ACATs, ACAT Fails and Mutual Funds.
  • Oversee the review, reconciliation and supervisory control of data and its transmission from multiple vendors. Provide detail-level analysis to external clients while meeting service level agreements.
  • Documents quality issues, performance measures and quality improvements for management review.
  • Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
  • Collaborate with subject matter experts to obtain key job knowledge that will help meet the specific business needs. Research complex situations and define the actions necessary to resolve the situation.
  • Assist with project testing and implementation


  • Bachelor's degree preferred with at least three years related customer service and operations experience.
  • Minimum of two years direct supervisory/managerial experience.
  • Licenses/Certifications Required/Preferred: FINRA Series 99 required within 4 months of employment
    Series 7, 66, 24 preferred
  • Strong relationship and people management skills.
  • Strong communication skills, time and priority management.
  • Strong skills in PowerPoint, Word and Excel.

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, San Diego, California, United StatesRemove