Senior Operations Specialist
Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role 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.
Investor Focused Solutions is a part of the LPL Services Group (LSG), a growing professional services company within LPL Financial that helps advisors and institutions execute on their biggest opportunities. Our human-led, tech-enabled services help our customers deliver great financial advice and run thriving businesses. Over 500 employees strong, we come to work each day dedicated to making an impact in lives of advisors, institutional partners, and investors.
The Operations Specialist will work with the Investor Focused Solutions (IFS) team and will be part of a team providing operational support to LPL corporate based advisors. This would include, resolving notifications, opening accounts, moving money, transferring accounts, and working directly with clients to complete any of these tasks. The Operations specialist will support the team of advisors by handling account operational inquiries. The ideal candidate will be success driven with a client service attitude, and the ability to deliver high touch, professional service.
- 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
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, and 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
- Experience with CRM applications such as Salesforce and SmartSheet preferred
- SIE and Series 7 preferred
- 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
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.
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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 (800) 877-7210.
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