Operations Specialist Operations Specialist …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Operations Specialist
Senior Ops Specialist San Diego/en-US/External/job/San-Diego/Senior-Ops-Specialist_R-008310/apply

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.

Essential Functions:

  • 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.


  • Experience in the financial industry and/or processing in a high volume and deadline driven environment.
  • Service-oriented in working with various groups such as clients, other firms, service team, Offshore partners and various business units within the company.
  • Effective and proactive communicator with strong written and verbal communication skills in dealing with internal clients and different levels of management.
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands and tight deadlines.
  • Maintain a high level of output and achieve results without sacrificing quality.
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment.
  • Attention to detail and excellent problem solving skills.
  • Demonstrates accuracy and thoroughness in performing work assignments.
  • Ability to analyze information and strong reporting skills.
  • Ability to develop positive working relationships and works well in a team setting.
  • Must be self-motivated and effectively cope with changing environments.
  • Develop resourceful solutions to challenging situations.
  • Demonstrates self-reliance, dependability and accountability.
  • Ability to respond quickly to new instructions, situations, methods and procedures and display an exceptional ability to learn new methods.
  • Bachelor's Degree Preferred

Software/Systems Skills:

  • Proficient in Microsoft Office Suite.
  • Advanced skills in Excel and Access preferred.
  • Knowledge of LPL systems such as Documentum, Beta and ATDB a plus

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 3 Days AgoFull timeR-008310

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.