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Financial Planning Operations Associate

3 months ago

Knoxville, Tennessee, United States LPL Financial Full time

Are you passionate about working with advisors in the fast-growing area of Financial Planning?

Are you a detail-oriented, agile-minded, and innovative thinker with an eye towards the future of Financial Planning?

Are you ready to ignite growth in LPL's thousands of financial advisors across the country in the ever expanding area of Financial Planning?

Excited to learn more? If so, then this could be the role for you

Job Overview:

The LPL Financial Planning Operations team is looking for a Financial Planning Operations Associate to help with the review of financial planning engagements, processing of advisor commissions, fielding advisor inquiries, and collaborating with the team on process improvements. This role is also responsible for monthly reporting, commission reconciliation and various project management tasks. The individual in this role will work with both internal and external teams to assist and resolve any issues as well as work with financial advisors to help provide business solutions. Our team is responsible for the review and approval of financial planning engagements submitted by our financial advisors under the LPL corporate RIA in addition to the processing of advisor revenue generated from financial planning engagements.

What will you do?

Primary job functions of the Financial Planning Operations Associate will include:

  • Review financial plans and consulting agreements submitted by advisors for accuracy and quality
  • Take ownership and evaluate problem inquiries from advisors for efficient and timely resolution
  • Provide superior customer service to large base of financial advisors by handling incoming phone calls
  • Reconcile data and data analysis
  • Utilize technology to provide business solutions to financial advisors
  • Coordinate effectively with internal departments to improve processes
  • Project management on various department issues
  • Communicate operational and financial policies and procedures

What does success look like in the first 90 days?

After your first 3 months in the role, you should have a clear understanding of what we do at LPL, how the LPL Comprehensive Advice organization works with financial advisors, and how our Financial Planning Operations team supports LPL and our advisors at large. You should also be starting to execute the mission critical functions of the role within the Financial Planning Operations team in partnership with your leader.

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. The ideal candidate will be a self-starter, can take the initiative and is not afraid to be innovative.

What skills, experiences, and education are required?

  • 1 year of related work experience in financial planning or financial services operations preferred (includes internships)
  • Proficiency with Microsoft Office products (Excel, Word, PowerPoint, and Outlook), including an ability to visually convey information and insights through graphs, charts, images, and other means
  • Ability to handle daily contacts with advisors and internal contacts through both email and on the phone
  • Strong communication skills, organization, attention to detail, multi-tasking, able to build and foster strong working relationships both internally and externally
  • Bachelor's degree in finance, accounting, business, or related fields preferred
  • FINRA SIE, Series 6, or Series 7 licensing a plus

Pay Range:

$23.62-$39.36/hourActual 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 offerWhy 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 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