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About the Role

The Operations Specialist will provide operational support to LPL corporate-based advisors, handling tasks such as resolving notifications, opening accounts, moving money, transferring accounts, and working directly with clients. The ideal candidate will be success-driven with a client service attitude and the ability to deliver high-touch, professional service.

Responsibilities

Assist end-clients and internal partners through inbound and outbound phone calls, emails, faxes, and mailings
Proactive outreach to clients and advisors on time-sensitive activities - RMDs, repapering accounts, distributions, and 1099s
Research complex issues and resolve inquiries in a timely matter
Regularly exercise excellent business judgment
Communicate operational and financial industry policies and procedures
Prepare forms and submit instructions for account activities on behalf of advisors and end clients for new accounts, money movement, account transfers, and account maintenance.
Handle incoming and outgoing mail requests by USPS and FedEx
Route inquiries through LPL channels to ensure proper processing and escalation of inquiries
Obtain documents from other Broker/Dealers as needed
Manage account notifications and resolution of NIGOs
Prepare client reports and proposals as required
Monitor team mailboxes and respond to client inquires
Refer clients that are seeking financial guidance to an LPL Advisor
Communicate with operations team and advisors with status updates on operational tasks
Acts as a resource to the department by training and developing others
Work with clients and families to distribute assets from client accounts.
Be a key component to the growth of IFS by fostering relationships and retaining business.
Work one on one with clients and make a positive impact to help them through difficult times such as death or divorce.
Work as a liaison between clients and advisors to ensure financial goals are met.

Requirements

Bachelor’s degree or equivalent years of industry experience
2+ years’ experience in customer service or operations
SIE and Series 7
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

Experience Level

2+ years’ experience in customer service or operations

Education Level

Bachelor’s degree or equivalent years of industry experience

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. (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.

Equal Opportunity

Principals only. EOE.