Senior Operations Specialist - Estate Team

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OperationsOperations Specialist

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Quick Summary

Key Responsibilities

Preparing and processes new account paperwork successfully which may include preparing forms, obtaining appropriate signatures, and preparing documentation for processing,

Requirements Summary

2+ years’ direct client experience within the financial services industry. 1+ years’ call center experience.

Technical Tools

OperationsOperations Specialist

The Estate Senior Operations Specialist of the LPL Wealth Advisors Group will be part of a group supporting LPL corporate based advisors. These desk advisors will manage certain LPL retail investment accounts that were formally managed by independent LPL Financial Advisors. The operations specialist will support the team of advisors by handling account operational inquiries directly related to the Death and Divorce Processes. The ideal candidate will be success driven with a client service attitude, and the ability to deliver high touch, professional service.

Responsibilities

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Preparing and processes new account paperwork successfully which may include preparing forms, obtaining appropriate signatures, and preparing documentation for processing, tracking and coordinating rollovers/transfers, either manual or ACAT.
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Assist desk advisors in addressing client queries over the phone via inbound and outbound calling activities. Examples of calls include but are not limited to account maintenance, cash management, general tax reporting and other inquiries.
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Proactively handoff clients who seek financial advice and trading requests to desk advisors inbound/outbound calls.
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Review and Interpret Court Documents related directly to Death and Divorce Processes.
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Actively participate in customer service training and other training to remain current with operational policies and procedures
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Provide regular feedback to the Management team on how to improve both the client experience and operational efficiencies.
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Communicate operational and financial industry policies and procedures.
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Regularly exercise excellent business judgment.
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Research and resolve client issues.
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Referral of new clients going through the Estate Process to Financial Advisors.

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

~1 min read

2+ years’ direct client experience within the financial services industry.
1+ years’ call center experience.

Financial related service call center experience: or other service-related job experience considered.
Proficient in Microsoft Office and web-based applications.
Experience using Sales Force and Client Works a plus.
Ability to assist customers in call center environment while accessing data via multiple PC lookup applications.
Excellent verbal and written communication skills.
Positive, customer focused attitude and demeanor with a desire to provide outstanding service.
Problem solving skills and attributes.
Ability to work effectively within a team environment.
Able to learn complex financial information and terminology at a fast pace.
Must have excellent telephone service/relationship management skills.
Must have excellent communication skills, and strong service ethic.

$23.57-$39.32/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!

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. 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.

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. Please log in or create an account to apply to this position. Principals only. EOE.

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.

EAC 5.19.26