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Senior Operations Specialist - Outgoing Non-ACAT & Non-Standards

Job ID: R-010213 Date posted: 06/01/2020 Primary Location CA-San Diego

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 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.
  • 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 or equivalent experience
  • FINRA Series 99, 7, 66 preferred

Software/Systems Skills:

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

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