Senior Operations Specialist - Estate Team

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 Estate Senior Operations Specialist of the LPL Wealth Advisors Group will be part of a group supporting LPL corporate based advisors. The Senior Operations Specialist - Estate Team 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:

• Preparing and processing 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.
• Assist WealthAG 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.
• Proactively handoff clients who seek financial advice and trading requests to WealthAG advisors inbound/outbound calls.
• Review and Interpret Court Documents related directly to Death and Divorce Processes.
• Actively participate in customer service training and other training to remain current with operational policies and procedures
• Provide regular feedback to the Management team on how to improve both the client experience and operational efficiencies.
• Communicate operational and financial industry policies and procedures.
• Regularly exercise excellent business judgment.
• Research and resolve client issues.
• Referral of new clients going through the Estate Process to WealthAG Financial Advisors.

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:

• Bachelor’s degree or equivalent years of industry experience
• 2+ years’ experience in customer service or operations    

Preferences:

• SIE
• Series 7
• Positive, customer focused attitude and demeanor with a desire to provide outstanding service.
• Ability to prioritize and manage tasks
• Outstanding interpersonal skills with the ability to build and foster relationships
• Excellent verbal and written communication skills
• Strong problem-solving skills with a keen attention to detail
• The ability to explain complex information clearly and simply
• Ability to maintain a positive attitude and perform under pressure in a fast-paced environment

 

Pay Range:

$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!

 

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. 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.

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.

EAC 5.19.26