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Sr Ops Specialist

3 months ago

Tempe, Arizona, United States LPL Financial Full time

Are you passionate about delivering solutions to LPL's financial advisors? Are you results-oriented, agile-minded, and can work in a team or independently? Do you like thinking outside the box, learning new skills and problem solving?

If so, LPL Financial is the place for you LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.

At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Description:

This position is part of the Account Transfers department in Service, Trading and Operations and will be a Senior Operations Specialist on the Alternative Investment Transfers team. 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.

Responsibilities:

  • 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, Transfer Agents and Fund Sponsors.
  • 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.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Minimum of two years in brokerage/financial services client-facing or operations experience (comparable experience may be considered)
  • MS Office experience Core Competencies

Core Competencies:

  • Must have excellent verbal, listening, and written skills
  • Excellent phone communication skills
  • Extremely organized
  • Adaptive and flexible
  • Ability to multi-task in a fast-paced environment
  • Leads by example and ensures a high-quality client experience

Preferences:

  • Bachelor's degree; preferably in business, accounting, or finance

Pay Range:

$16.73-$27.88/hourActual 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 offerWhy LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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