Senior Operations Specialist - Estate Team

LPL Financial•Tempe, TX

13d•Onsite

About The Position

The Estate Senior Operations Specialist of the LPL Wealth Advisors Group 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 directly related to the Death and Divorce Processes. The ideal candidate will be success driven with a client service attitude, and the ability to deliver high touch, professional service.

Requirements

2+ years’ direct client experience within the financial services industry.
1+ years’ call center experience.
Proficient in Microsoft Office and web-based applications.
Ability to assist customers in call center environment while accessing data via multiple PC lookup applications.
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.
Must have excellent telephone service/relationship management skills.
Must have excellent communication skills, and strong service ethic.

Nice To Haves

Financial related service call center experience: or other service-related job experience considered.
Experience using Sales Force and Client Works a plus.

Responsibilities

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.
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.
Proactively handoff clients who seek financial advice and trading requests to desk advisors inbound/outbound calls.
Review and Interpret Court Documents related directly to Death and Divorce Processes.
Actively participate in customer service training and other training to remain current with operational policies and procedures
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.
Referral of new clients going through the Estate Process to Financial Advisors.