Senior Account Transfers Specialist

LPL Financial•Fort Mill, SC

2d•$20 - $34

About The Position

The Account Transfers Department facilitates movement of cash and securities into and out of LPL client accounts. As a Senior Account Transfers Specialist, you will play a direct role in helping our advisors execute financial plans for their clients by initiating, reconciling, and researching ACAT and Non-ACAT asset transfer requests. You will also have an opportunity to help shape the process, create efficiencies, and eliminate waste through our best-in-class continuous improvement system.

Requirements

6 months or more experience in the financial industry and/or processing in a high volume and deadline-driven environment
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
Demonstrates accuracy and thoroughness in performing work assignments
Ability to develop positive working relationships and works well in a team setting

Nice To Haves

1+ year(s) experience in Brokerage Operations; Account Transfers/Non-ACATs experience preferred
Experience with Documentum, BETA, ATDB, and BOPM would be preferred
Experience in work environments that use management principles that maximize value to customers and minimize waste (LMS/process improvement)
Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision.

Responsibilities

Review and initiate both paper and electronic asset transfer requests on behalf of our advisors.
Research and reconcile outstanding transfer requests to ensure asset delivery.
Effectively communicate verbal and written pertinent information to Financial Advisors and contra firms on the status of the transfer requests.
Regularly contribute to root cause problem solving sessions to continuously improve the Transfer process.
Perform quality control functions to ensure standard work is taking place.
Share pain points with leadership and business partners to find solutions and pursue process improvements.
Act as a resource to the department and be able to apply complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors about the overall transfer process.