Job ID R-024973Date posted 11/21/2022Primary Location TX-Austin
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 Senior Operations Specialist of the LPL Investor Focused Solutions Team will be part of a group supporting LPL corporate based advisors. These desk advisors will manage certain LPL retail investment accounts that were formally managed by independent LPL Financial Advisors. 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.
1. Preparing and processes 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
2. Assist desk 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:
3. Proactively handoff clients who seek financial advice and trading requests to desk advisors inbound/outbound calls
4. Prepare client reports and proposals as required.
5. Actively participate in customer service training and other training to remain current with operational policies and procedures
Other Job Duties:
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.
High School diploma or equivalent.
Must have excellent telephone service/relationship management skills.
Minimum of 2 years direct client experience within the financial services industry.
Must have excellent communication skills, and strong service ethic.
Prior financial related service call center experience; or other service related job experience considered.
Proficient in Microsoft Office and web based applications.
Experience using Sales Force and Client Works a plus.
Ability to assist customers in call center environment while accessing data via multiple PC lookup applications.
Must have excellent PC and data input skills.
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.
Able to learn complex financial information and terminology at a fast pace.
Accurate with attention to detail.
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.