Senior Operations Specialist - LPL WealthAG

LPL Financial•Tempe, AZ

2d•$22 - $37

About The Position

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: The Operations Specialist will work with the LPL Wealth Advisors Group (WealthAG) 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.

Requirements

Bachelor’s degree or equivalent years of industry experience
2+ years’ experience in customer service or operations

Nice To Haves

SIE and Series 7
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

Responsibilities

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
Work with clients and families to distribute assets from client accounts.
Be a key component to the growth of IFS by fostering relationships and retaining business.
Work one on one with clients and make a positive impact to help them through difficult times such as death or divorce.
Work as a liaison between clients and advisors to ensure financial goals are met.