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Operations Specialist

Job ID: R-001878 Date posted: 11/29/2017 Primary Location CA-San Diego

Position Summary:

This position is part of the Account Transfers department in Service, Trading and Operations. This team is responsible for moving assets to LPL either systematically, via Automated Customer Account Transfer (ACAT) system, manually as a non-ACAT or through the Direct Registrations System (DRS). This position requires to work closely with our Service Teams, Offshore business partners, different business units within Account Transfers and other financial institutions.

Essential Functions:

  • Review, research, process and send out transfer requests within expected service levels
  • Perform quality assurance of transfers 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 transfers processed or pending requests
  • Work with various contra firms to ensure that transfers are processed within acceptable time frame. This includes handling inbound and outbound calls with these firms
  • Collaborate with Fort Mill 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

Qualifications:

  • 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 clients, stakeholders and different levels of management
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands and tight deadlines
  • Can 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
  • Can 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 and adapt to changing situations.
  • Bachelor's Degree Preferred
  • Proficient in Microsoft Office preferred
  • Knowledge of LPL systems such as Documentum, Beta and ATDB a plus

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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