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About the Role

The Estate Senior Operations Specialist will support LPL corporate-based advisors who manage LPL retail investment accounts formerly managed by independent LPL Financial Advisors. This role handles account operational inquiries related to the Death and Divorce Processes, requiring a success-driven candidate with a client service attitude and the ability to deliver high-touch, professional service.

Responsibilities

Prepare and process new account paperwork, including forms, signatures, and documentation for processing.
Track and coordinate manual or ACAT rollovers/transfers.
Assist desk advisors with client queries via inbound and outbound calls, including account maintenance, cash management, and general tax reporting.
Proactively handoff clients seeking financial advice and trading requests to desk advisors.
Review and interpret court documents related to Death and Divorce Processes.
Participate in customer service and operational training to stay current with policies and procedures.
Provide feedback to management on improving client experience and operational efficiencies.
Communicate operational and financial industry policies and procedures.
Exercise excellent business judgment.
Research and resolve client issues.
Refer new clients undergoing the Estate Process to Financial Advisors.

Requirements

2+ years of direct client experience within the financial services industry.
1+ years of call center experience.
Proficient in Microsoft Office and web-based applications.
Ability to assist customers in a 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.
Ability to learn complex financial information and terminology at a fast pace.
Excellent telephone service/relationship management skills.
Strong service ethic.

Skills

Client service
Account operational inquiries
Death and Divorce Processes
Microsoft Office
Web-based applications
Sales Force
Client Works
Communication skills
Customer focus
Problem solving
Teamwork
Financial information
Telephone service
Relationship management

Location

Remote

Work Type

Full-time

Experience Level

Mid-level

Salary/Compensations

$23.57-$39.32/hour

Benefits

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

About the Company

LPL Financial Holdings Inc. is a fast-growing wealth management firm in the U.S., supporting over 32,000 financial advisors and approximately 1,100 financial institutions. The firm offers a wide range of services, including advisor affiliation models, investment solutions, fintech tools, and practice management services. LPL empowers advisors and institutions with the freedom to choose their business model, services, and technology resources to run thriving businesses and manage client relationships effectively.
At LPL, independence means advisors and institution leaders have the freedom to choose their business model, services, and technology resources to run a thriving business. They have the flexibility to do business their way and manage client relationships because they know their clients best. LPL takes care of its advisors and institutions so they can take care of their clients.

Equal Opportunity

Principals only. EOE.