Senior Operations Specialist - Wealth Advisors Group

LPL Financial; Tempe (AZ); 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

LPL Financial is seeking an Operations Specialist to join the Wealth Advisors Group, providing operational support to corporate-based advisors and clients. You’ll handle tasks like account openings, money movements, and transfers, while delivering high-touch service.

The role emphasizes collaboration, adherence to policies, and the ability to manage inquiries with professional client interaction. Ideal candidates are client-service driven and proactive in a fast-paced environment.

Qualifications

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

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.
• 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.

Skills

Customer service

Operations

Account management

Phone support

Communication

Education

Bachelor’s degree or equivalent experience

Tools

CRM software

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.

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.

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 inquiries
• 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.

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

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

Preferences

• 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

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 - such as 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 1,110 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.

Principals only. 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].