LPL Financial · 2 weeks ago
Brokerage Operations – Senior Account Transfers Specialist
Fort Mill/Charlotte
Full-time
Onsite
Mid, Senior Level
$20.46/hr - $34.11/hr
1+ years expLPL Financial is among the fastest growing wealth management firms in the U.S. The Senior Account Transfers Specialist will facilitate the movement of cash and securities into and out of client accounts, ensuring compliance and efficiency in the asset transfer process.
FinanceFinancial Services
Responsibilities
Processing complex workflows while adhering to service level agreements (SLAs) and quality benchmarks
Assists in receiving and processing, and retention of enterprise-wide documents for business partner processing
Reviewing, evaluating, and monitoring the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites as required
Developing into a subject matter expert (SME) on operational policies and procedures with focus on front-end processes to support business units
Ensuring proper application of and compliance with internal and regulatory standards, guidelines, and procedures
Researching complex situations and determining the actions necessary to resolve the situation
Handling inbound and outbound calls and the team mailbox; working with advisors, clients, and other third party institutions to research various transactions and ensure compliance with stated policies and procedures
Reviewing and investigating potential suspicious activity as derived from the variety of systems, including suspected money laundering or structuring of financial transactions to avoid government reporting requirements
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 processes
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 process for inquiries received from internal and external customers and vendors about the overall transfer process
Ad hoc responsibilities that arise which will promote continuous improvement and transform the business
Qualification
Required
1+ year(s) of experience in the financial industry and/or processing in a high volume and deadline-driven environment
1+ year(s) of service-oriented in working with various groups such as clients, other firms, service team, offshore partners, and various business units within the company
MS Office Suite experience (Basic Proficiency with Outlook, Teams, Word, Excel, PowerPoint, etc)
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
Preferred
1+ year(s) experience in Brokerage Operations; Account Transfers/ACATs experience preferred
Experience with Documentum, BETA, ATDB, and BOPM would be preferred
Experience in work environments that use management principles that maximize value to customers and minimize waste (LMS/process improvement)
Effective Oral/Written Communication, Adaptability, Initiative, Decision Making, Customer Service, Passion for Results, ability to operate with minimal to no supervision
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Company data provided by crunchbase