Sr Operations Specialist, Account Transfers

LPL Financial; Tempe (AZ); On-site; USD 28,000 - 47,000; Full time

Job summary

LPL Financial is seeking a Senior Account Transfers Specialist in Tempe to initiate, reconcile, and research ACAT and Non-ACAT asset transfer requests while supporting financial advisors in executing client plans.

The role emphasizes accuracy, collaboration, and continuous process improvement in a fast-paced, client-focused environment within a large wealth management organization.

Qualifications

• Effective and proactive communicator with strong written and verbal communication skills in dealing with clients, stakeholders, and different levels of management.
• Ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines.
• Demonstrates accuracy and thoroughness in performing work assignments.

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 pertinent information to Financial Advisors and contra firms on the status of transfer requests.
• 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.
• Apply complex knowledge of the transfer process for inquiries from internal and external customers and vendors.

Skills

Effective communicator

Team player

Multi-tasking

Education

Post secondary education

Job description

Job Overview

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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.

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.

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

• 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

Core Competencies

• 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

Preferences

• Post Secondary Education preferred or at least three years’ experience in Brokerage Operations; Account Transfers/ACATs experience preferred.
• Experience in work environments that use management principles that maximize value to customers and minimize waste
• Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision.

Pay Range

$20.45-$34.12/hour

Actual 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.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com 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(855) 575-6947.

EEO.

EAC 5.19.26