Sr Ops Specialist

$34,798 - $57,990/Yr

LPL Financial - Tempe, AZ

Full-time - Entry Level

Tempe, AZ

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Senior Operations Specialist position at LPL Financial is focused on the Account Transfers department, specifically within the Alternative Investment Transfers team. This role is essential for ensuring the efficient transfer of assets to LPL, either through automated systems or manual processes. The specialist will collaborate with various teams and external partners to maintain compliance, enhance client experiences, and contribute to continuous improvement initiatives.

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 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.

Requirements

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

Nice-to-haves

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

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off