Senior Operations Specialist - Estate Team

LPL Financial; Austin (TX); On-site; USD 33,000 - 54,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

The Estate Senior Operations Specialist within the LPL Wealth Advisors Group will be part of a team supporting LPL corporate-based advisors. These desk advisors manage certain retail accounts formerly handled by independent advisors. The role focuses on Death and Divorce processes with high-touch client service.

Ideal candidates are client-focused, detail-oriented, and capable of delivering professional service while maintaining compliance and efficiency in a fast-paced environment.

Qualifications

• 2+ years’ direct client experience within the financial services industry.
• 1+ years’ call center experience.
• Proficient in MS Office and web-based applications.
• Experience using Salesforce and ClientWorks a plus.
• Excellent verbal and written communication skills.
• Positive, customer-focused attitude and demeanor with a desire to provide outstanding service.
• Ability to work effectively within a team environment and learn complex financial information quickly.

Responsibilities

• Preparing and processing new account paperwork, including forms, signatures, and documentation for processing.
• Assist desk advisors in addressing client queries via phone (inbound/outbound) including account maintenance, cash management, and tax reporting.
• Proactively hand off clients seeking financial advice and trading requests to desk advisors.
• Review and interpret court documents related to Death and Divorce Processes.
• Participate in training to stay current with policies and procedures.
• Provide regular feedback to management to improve client experience and operational efficiency.
• Communicate policies and procedures clearly and accurately.
• Exercise sound business judgment and research client issues.
• Refer new clients going through the Estate Process to Financial Advisors.

Skills

Client service experience

Call center experience

Verbal communication

Written communication

MS Office proficiency

Salesforce experience

Tools

Salesforce

ClientWorks

MS Office

Job description

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Wealth Advisors Group is a part a growing professional services company within LPL Financial that helps advisors and institutions execute on their biggest opportunities. Our human‑led, tech‑enabled services help our customers deliver great financial advice and run thriving businesses. Over 500 employees strong, we come to work each day dedicated to making an impact in lives of advisors, institutional partners, and investors.

Job Overview

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.

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.

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

Preferences

• Financial related service call center experience: or other service-related job experience considered.
• Proficient in Microsoft Office and web‑based applications.
• Experience using Sales Force and Client Works a plus.
• 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.

Pay Range

$23.57-$39.32/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.

Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• and more

Your recruiter will be happy to discuss all that LPL has to offer!

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.

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 [phone].

EAC 5.19.26