Senior Account Transfers Specialist
LPL Financial, Fort Mill, SC, United States
Senior Account Transfers Specialist
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. Job Overview:
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're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements:
6 months or more experience in the financial industry and/or processing in a high volume and deadline-driven environment 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:
1+ year(s) experience in Brokerage Operations; Account Transfers/Non-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. Pay Range: $20.46-$34.11/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. Your recruiter will be happy to discuss all that LPL has to offer! 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, 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. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. 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. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. 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. EAC12.9.25
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. Job Overview:
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're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements:
6 months or more experience in the financial industry and/or processing in a high volume and deadline-driven environment 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:
1+ year(s) experience in Brokerage Operations; Account Transfers/Non-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. Pay Range: $20.46-$34.11/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. Your recruiter will be happy to discuss all that LPL has to offer! 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, 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. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. 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. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. 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. EAC12.9.25