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Associate Operations Specialist

Job ID: R-022930 Date posted: 04/29/2022 Primary Location TX-Austin Other Locations SC-Fort Mill

Are you a team player passionate about providing an excellent client experience? Are you interested in being part of a team that is working to scale and grow? 

If so, a career at LPL Financial may be an ideal path for you! 

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Operations Specialist will work with the Investor Focused Solutions (IFS) estate team to help clients with their estate cases.   They will provide assistance with their service needs including evaluating cases, completing forms, opening new accounts, processing requests for distributions, and closing accounts.


  • Assist end-clients and internal partners through (inbound and outbound) phone calls, emails, faxes, and mailings.
  • Monitor the Estate Team mailbox and respond to client inquires
  • Utilize ScheduleOnce to manage client appointments
  • Complete, upload, and process client documents
  • Route inquiries through LPL channels to ensure proper processing and escalation of inquiries
  • Obtain documents from other Broker/Dealers as needed
  • Refer clients that are seeking financial guidance to an LPL Advisor
  • Communicate with operations team and advisors with status updates on estate cases; utilize Salesforce & SmartSheets to notate status of estate cases

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, are able to execute in a way that encourages creativity and continuous improvement.


  • Bachelor’s degree or equivalent years of industry experience
  • 2+ years’ experience in customer service or operations
  • LPL Financial systems and process experience preferred
  • Experience with Salesforce and SmartSheet preferred
  • SIE and Series 7 preferred

Core Competencies:

  • Ability to take ownership and follow through on estate cases
  • Ability to prioritize and manage tasks
  • Ability to work well individually and as part of team
  • Excellent verbal and written communication skills
  • Strong problem solving skills with a keen attention to detail
  • Ability to maintain a positive attitude and show empathy towards clients
  • Ability to perform under pressure in a fast-paced environment

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 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 (800) 877-7210.

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