Senior Operations Specialist - Estate Team

Estate Senior Operations Specialist At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. 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. 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 formerly 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. 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, 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 . 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. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @ 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 (855) 575-6947.

Created: 2026-03-07