Skip Navigation
Search Our Jobs

Search Our Jobs

Click Here to View All Available Opportunities at LPL Financial

Team Lead, Account Transfers - Alternative Investment Transfers/Mutual Fund Fails

Job ID: R-004408 Date posted: 09/11/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Team Lead,  Account Transfers - Alternative Investment Transfers/Mutual Fund Fails provides daily, hands-on supervision, problem-solving, and training support to their respective team and department required processes. 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.

Essential Functions:

  • Reviews, evaluates and monitors the quality of work as measured against accuracy, timeliness, and productivity standards. Allocate work amongst the 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 related to processing, problem resolution, daily reconciliation, and customer service approaches.
  • Subject matter expert on operational policies and procedures with a primary focus on the overall transfer process, including Alternative Investments, ACATs, ACAT Fails and Mutual Funds.
  • Oversee the review, reconciliation and supervisory control of data and 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

Qualifications:

  • Bachelor's degree preferred with at least three years related customer service and operations experience.
  • Strong relationship and people management skills.
  • Strong communication skills, time and priority management.

Licenses/Certifications Required/Preferred:

  • FINRA Series 99 required within 4 months of employment

             Series 7, 66, 24 preferred

Software/System Skills:

  • Microsoft Office Suite required; BETA, Documentum and ATDB preferred.

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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.

Sign Up for Email Alerts!

Areas of InterestStay up-to-date about the latest opportunities at LPL Financial! Choose at least one category and/or location from the auto-suggestions and click 'Add' to subscribe.

  • Service and Operations, San Diego, California, United StatesRemove
  • Service and Operations, Fort Mill, South Carolina, United StatesRemove