Associate

LPL Financial LLC; Fort Mill, Charlotte (SC, NC); On-site; USD 29,000 - 48,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. is seeking an Associate Service Consultant‑Estate Team to act as a subject matter expert for advisors and clients on inheritance and divorce processes.

You will handle inbound calls, review documents, and assist with asset distributions from client accounts, ensuring compliance and risk mitigation. Ideal candidates have 2+ years in brokerage/financial services and strong MS Office skills.

Qualifications

• 2+ years in brokerage/financial services client-facing or operations experience.
• Excellent verbal, listening, and written skills.
• Excellent phone communication skills.
• Extremely organized and adaptable.

Responsibilities

• Provide outstanding service through phone support for inheritance/divorce issues in a high-volume inbound environment.
• Take ownership of complex and escalated cases with timely follow-up and processing.
• Review documents to ensure regulatory and internal standards for asset distribution.
• Communicate empathetically and professionally in sensitive estate/divorce matters.
• Review testamentary documents, trusts, QDROs and related paperwork.
• Promote new processes and contribute to team projects and training.

Skills

Brokerage/financial services

Verbal communication

Written communication

Phone support

Attention to detail

Education

Bachelor’s degree in business, accounting, or finance

SIE, Series 7 & 63

Tools

MS Office (Access, Excel, PowerPoint, Outlook, Teams, Word)

Job description

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 Associate Service Consultant‑Estate Team serves as a subject matter expert for advisors, clients, and internal business partners on the inheritance and divorce process, assisting our clients with the distribution of assets to beneficiaries who are inheriting an account from an LPL client. Responsibilities for this role include taking inbound calls from our advisors, clients, and internal partners focused on resolving estate and divorce inquiries related to an LPL account. In addition to phone calls, service consultants also spend time reviewing and processing documents and paperwork submitted by advisors and clients to facilitate the distribution of assets to named beneficiaries from an LPL account. This requires great attention to detail, and may involve reviewing legal documentation, assessing and mitigating risks to the firm, and communicating needs and requirements to complete the distribution process. This role also handles escalated inquiries and assists with information sharing, as well as coaching and guidance for our advisors on how to navigate the complexities of the inheritance and divorce processes. Our team’s main priority is to create a reliable support system for our advisors so they can easily navigate through estate‑related inquiries on behalf of their clients and ultimately grow and strengthen their practice. This role requires a strong customer focus and work ethic to provide top‑tier service experience. Additionally, the Cash Management Operations department offers opportunities to participate and contribute to team projects and training that supports your career development and advancement.

Responsibilities

• Providing outstanding service through phone support with complex inheritance/divorce‑related issues via an inbound call centre environment, by taking ownership of each inquiry as the main point of contact and providing “First Call Resolution” when possible.
• Taking ownership and following through with complex and escalated cases that result in follow‑up calls and processing. Ensuring that requirements are being accurately communicated and answering questions related to the inheritance process.
• Use excellent decision making and communication skills to process estate and divorce claims through to completion; this includes reviewing paperwork to ensure that documents comply with regulatory requirements and department standards for distribution, processing paperwork received accurately to mitigate risk to the firm.
• Communicating in an empathetic and professional manner due to the sensitive nature of Estate and Divorce situations.
• Reviewing documentation such as letters of testamentary, trust agreements, Qualified Domestic Relations Order, divorce decrees, and other estate‑related paperwork as it pertains to both death and divorce situations.
• Keeping apprised of and promoting new processes and controls; provide feedback and process improvements to drive the business forward.
• Contributing to a team environment by demonstrating the ability to interact, support and engage with coworkers to achieve team and department goals.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast‑paced, team‑oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

• 2+ years in brokerage/financial services client‑facing or operations experience (comparable experience may be considered)
• MS Office experience (Access, Excel, PowerPoint, Outlook, Teams, Word)
• Must have excellent verbal, listening, and written skills
• Excellent phone communication skills
• Extremely organized
• Adaptive and flexible
• Ability to multi‑task in a fast‑paced environment

Preferences

• Previous experience with trust/estate or legal administration (Beneficiary claims, retirement accounts, etc)
• Experience in high call volume environments and experience with increased volumes during peak season
• Experience de‑escalating calls and providing solutions to external clients
• Experience with enforcing policies and procedures
• Bachelor’s degree; preferably in business, accounting, or finance
• SIE, Series 7 & 63

Pay Range

$21.10-$35.16/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off
• and more

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor‑mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com. Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

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 [phone]. EAC 5.19.26 LPL Financial is the nation’s largest independent broker‑dealer.*

EOE.

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