Associate Resolution Consultant

Are you a team player? Are you curious to learn? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

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 risk 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 include, but are not limited to:

• Providing outstanding service through phone support with complex inheritance/divorce-related issues via an inbound call center 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 on 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 in order 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 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:

The ideal candidate will possess the following:

• Minimum of two years in brokerage/financial services client-facing or operations experience (comparable experience may be considered)
• MS Office experience required
• Bachelor’s degree; preferably in business, accounting, or finance
• Previous experience with trust/estate or legal administration preferred
• SIE, 7 & 63 preferred

Core Competencies:

• 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
• Leads by example and ensures a high-quality client experience

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.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here!

Want to see info on our benefits? Learn more here.

Pay Range:

$20.48-$34.13/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.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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.