Sr Operations Specialist, Account Transfers

LPL Financial•Fort Mill, SC

8d•$20 - $34

About The Position

The Account Transfers Department facilitates the movement of cash and securities into and out of LPL client accounts. The Senior Account Transfers Specialist helps advisors execute financial plans for their clients by initiating, reconciling, and researching ACAT and Non-ACAT asset transfer requests. The role also contributes to shaping processes, creating efficiencies, and eliminating waste through continuous improvement.

Requirements

Experience in the financial industry and/or in processing in a high-volume, deadline-driven environment.
Service-oriented approach when working with clients, other firms, service teams, offshore partners, and company business units.
Effective, proactive written and verbal communication with clients, stakeholders, and different levels of management.
Ability to multitask across functions and assignments with competing priorities, changing demands, and tight deadlines.
Accuracy and thoroughness in performing work assignments.
Ability to develop positive working relationships and work well in a team setting.

Nice To Haves

Post-secondary education or at least three years of experience in Brokerage Operations.
Account Transfers/ACATs experience.
Experience in work environments using management principles that maximize customer value and minimize waste.
Adaptability, initiative, decision-making, customer-service skills, passion for results, and ability to operate with minimal to no supervision.

Responsibilities

Review and initiate paper and electronic asset transfer requests on behalf of advisors.
Research and reconcile outstanding transfer requests to ensure asset delivery.
Communicate relevant transfer-request status information verbally and in writing to Financial Advisors and contra firms.
Contribute regularly to root-cause problem-solving sessions to improve the transfer process.
Perform quality-control functions to ensure standard work is followed.
Share pain points with leadership and business partners, identify solutions, and pursue process improvements.
Serve as a departmental resource, applying complex knowledge of the overall transfer process to inquiries from internal and external customers and vendors.