Operations Specialist Operations Specialist …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Competitive
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Competitive
Operations Specialist
Account Transfers, Status Team - Sr Ops Specialist San Diego/en-US/External/job/San-Diego/Account-Transfers--Status-Team---Sr-Ops-Specialist_R-008312/apply

Essential Functions:

Review, research, reconcile and/or process transfer requests and be able to expedite requests within the service level expectations.  Must be able to work at computer workstation for the majority of the day.  Attention to detail and problem solving skills are extremely important.  Using verbal and written skills, effectively communicate pertinent information to Financial Advisors and Contra Firms on the status of the transfer requests/fails or any additional requirements that may be needed to complete the transfer.  The qualified candidate must be able to handle inbound and outbound calls and display utmost professionalism.  Assists with questions from internal departments and Service Center as well as assisting with information distribution to various internal and external business partners. Provides information to assist in giving feedback to employees and in the training of employees. Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures. Acts 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.

Other Job Duties:

  • Participate in various projects and/or extra daily assignments as required.
  • Be established as Subject Matter Expert on operational policies/procedures and use that knowledge to train new-hires.

Qualifications:

  • Bachelor's degree preferred with at least three years related to customer service and mutual fund operations experience. 
  • Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision

Licenses/Certifications: Series 7, 66 (or S63 & S65), 24 Preferred

Software/Systems Skills:  Microsoft Office Suite required, TPX BETA preferred

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations 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 lifes 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.

Posted YesterdayFull timeR-008312

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.

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