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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Service Consultant

Job ID: R-016577 Date posted: 08/30/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Joining our team as Service Consultant for the Death and Divorce Team will allow you to support financial advisors and their assistants by offering an extraordinary service experience. Your subject matter expertise, leadership and project management skills will be put into action as you begin to guide the team to success.

The Service Consultant will support our frontline, level two associates and leadership team with high priority service issues, manage escalated inquires and assist with knowledge sharing. This will include resolving escalations and complex scenarios from our clients regarding death and divorce related inquires, while determining root cause and providing recommendations for process improvement.  The Service Consultant will also be responsible for training, coaching and guidance for our internal and external clients. Being strongly engaged, flexible and adaptable to competing priorities will be a key success factor for this position.

Additionally, the Cash Management Operations department offers opportunities to participate and contribute in team projects and training that supports your career development and advancement. Our organization and team’s main priority is to create a reliable support system for our clients so they can easily navigate through estate-related inquires on behalf of their client’s and ultimately continue to grow and strengthen their practice.

Essential Functions:

  • Team Support – Responsible for maintaining and actively participating in team training program and new hire onboarding experience, as well as monitoring and recommending training for continuous learning and process improvements. Assist in maintaining a positive and supportive workplace environment by taking initiative to offer assistance to individual team members when appropriate. Deliver regular positive feedback and coaching opportunities to support the team’s development.
  • Continuous Learning and Process Improvement – Responsible for keeping apprised of and promoting new processes and controls, actively leading in daily huddles and participating in monthly department meetings. Providing feedback and process improvements to drive the business forward.
  • Error Tracking – Responsible for implementing and maintaining a team specific error tracking process to ensure proper coaching and training take place at the associate service consultant level. Additionally, will be responsible for reporting/presenting trends and process improvement recommendations to senior leaders at the team and enterprise level. 
  • Reporting and Ad Hoc Projects – Provide assistance with and/or support ad hoc projects and reporting as needed 
  • Escalation Review – Provide support and manage escalated issues in a timely manner and be the point of contact for Case resolution. Facilitate the proper handling of client complaints per regulatory requirements by communicating to and collaborating with our Compliance, Legal and Risk teams when necessary.
  • Phone Support – Provide support with level two complex death/divorce-related issues via inbound calls. Take ownership of each inquiry as the main point of contact and provide First Call Resolution when possible. For complex requests, take ownership of the Case that results in follow up phone calls, processing and proper documentation.
  • Processing – Responsible for processing various Death and Divorce Claims escalations, as well as monitoring each request through to completion. Tax operations review and processing will also be required. Complete proper documentation for each request to update business partners as well as comply with departmental reporting standards.

Job Requirements:

  • Strong customer focus, excellent verbal and written communication skills, strong work ethic, and extremely organized
  • Leadership and people management experience
  • Ability to multi-task in a fast-paced environment
  • Leads by example and ensures a high quality client experience
  • 3-5 years brokerage/financial services industry knowledge
  • Previous experience with trust/estate or legal administration
  • MS Office experience required

Preferred Qualifications:

  • FINRA SIE
  • FINRA Series 7/66
  • Bachelor’s degree; preferably in Business, Accounting, or Finance

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.

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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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