Sr Account Transfers Ops Specialist

We are seeking a Senior Operations Specialist with strong attention to detail, excellent verbal and written communication skills, and a team-oriented mindset. This role requires a positive attitude and the ability to manage multiple tasks efficiently. The Senior Operations Specialist will be responsible for reconciling, processing, and tracking transfer requests while ensuring quality and accuracy in assigned processes. Additionally, this role involves handling escalations and providing support to internal and external business partners.

Essential Functions:

• Review, research, reconcile, and process transfer requests while ensuring timely execution within service level expectations.
• Communicate effectively (verbally and in writing) with Financial Advisors and contra firms regarding transfer statuses, failures, and additional requirements.
• Handle inbound and outbound calls with professionalism.
• Assist internal departments and the Service Center by responding to inquiries and distributing information to internal and external business partners.
• Assess, track, and report on the quality and accuracy of assigned processes.
• Ensure compliance with internal and regulatory standards, guidelines, and procedures.
• Support employee training and feedback initiatives by providing relevant information.
• Act as a subject matter expert on the overall transfer process, offering guidance to internal and external customers and vendors.
  
  
  

Other Job Duties:

• Participate in various projects and assignments as required.
• Serve as a subject matter expert on operational policies and procedures, particularly in mutual fund operations.
  
  
  

Required Qualifications:

• 3 years of experience in customer service and mutual fund operations.
• Proficiency in Microsoft Office Suite.
• Strong skills in:
• Oral and written communication
• Adaptability
• Initiative
• Decision-making
• Customer service
• Results-driven mindset
• Ability to operate with minimal to no supervision.
• Must be able to work at a computer workstation for the majority of the day.
  
  
  

Preferred Qualifications:

• Bachelor’s degree in a related field.
• Experience with Beta systems.
• FINRA Series 7, 66 (or S63 & S65), 24 licenses.
  
  
  

Pay Range:

$19.87-$33.11/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
  
  
  

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 @lplfinancial.com 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 (855) 575-6947.

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