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Are you a leader? Do you enjoy helping advisors, coaching, and researching complex situations? 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!
At LPL Financial (Nasdaq: LPLA) our mission is to take care of our advisors, so they can take care of their clients. LPL serves the advisor-mediated advice marketplace as the nation’s largest independent broker-dealer, a leading investment advisory firm, and a top custodian. We support over 22,000 financial advisors, including advisors at approximately 1,100 institution-based investment programs and at approximately 570 registered investment adviser firms nationwide. Our vision is to become the leader across the advisor-centered marketplace by empowering advisors to deliver great advice to their clients and be great operators of their businesses.
Job Overview:
The Service Resolution Professional for the Estate team is a leader and subject matter expert (SME) responsible for helping financial advisors and their assistants navigate through estate-related inquires on behalf of their clients. The Service Resolution Professional supports frontline and level two associates with high priority service issues, manages escalated inquires, and assists with knowledge sharing. This includes resolving escalations and complex scenarios regarding death and divorce-related inquires.
This role is responsible for coaching and guidance for our internal and external clients. Additionally, the Cash Management Operations department offers opportunities to participate and contribute to team projects and training that supports career development and advancement.
Responsibilities:
• Reviewing documentation such as Letters of Testamentary, trust agreements, Qualified Domestic Relations Orders, divorce decrees, and other estate-related paperwork as it pertains to both death and divorce situations.
• Supporting and managing escalated issues in a timely manner and acting as the point of contact for case resolution. Facilitating the proper handling of client complaints per regulatory requirements by communicating to and collaborating with Compliance, Legal, and Risk teams when necessary.
• Keeping apprised of and promoting new processes and controls, actively leading in daily huddles, and participating in monthly department meetings. Providing feedback and process improvements to drive the business forward.
• Actively participating in the team training program and new hire onboarding experience. Maintaining a positive and supportive workplace environment by taking initiative and assisting individual team members when appropriate. Delivering regular positive feedback and coaching opportunities to support the team’s development.
• Supporting level two complex death or divorce-related issues via inbound calls including taking ownership of each inquiry as the main point of contact and providing First Call Resolution when possible. For complex requests, taking ownership of the case that results in follow-up phone calls, processing, and proper documentation.
• Processing Death and Divorce Claims escalations, as well as monitoring each request to completion.
• Reviewing and processing tax operations requests, including completion of proper documentation for each request to update business partners and comply with departmental reporting standards.
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:
• 3 to 5 years brokerage experience or financial services industry knowledge
• Proficient in Microsoft Office products
• FINRA Securities Essentials (SIE)/Series 99
• 1 to 2 years leadership or people management experience
Core Competencies:
• Leadership and people management skills
• Strong understanding of or experience with trusts, estates, or legal administration
• Excellent verbal and written communication skills
• Detail oriented with strong organization skills
• Ability to prioritize and multi-task in a fast-paced environment
• Skilled in client service and dedicated to providing a high-quality client experience
Preferences:
• Bachelor’s degree, preferably in Business, Accounting, or Finance
• FINRA Series 7/66
Pay Range:
$26.39-$43.99/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. Your recruiter will be happy to discuss all that LPL has to offer!
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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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 @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 (855) 575-6947.
