Senior Operations Specialist

at  LPL Financial

Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? 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!
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.

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.

REQUIREMENTS:

• 2+ years’ direct client experience within the financial services industry.
• 1+ years’ call center experience.

• 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
• Prepare client reports and proposals as required.
• 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.