Financial Planning Operations Associate

LPL Financial•Charlotte, NC

1d•Onsite

About The Position

The Financial Planning Operations Associate will serve as a primary point of contact for financial advisors, delivering high‑quality phone support related to financial planning engagements. This role is heavily focused on incoming phone servicing, paired with select operational responsibilities to support the successful processing of financial planning engagements. Primary job functions include: Serve as front‑line phone support for financial advisors Support advisors who have recently submitted new financial planning engagements or are calling to check the status of existing engagements and associated payouts Walk advisors through the financial planning engagement submission application, providing clear guidance and troubleshooting common issues Resolve basic technical issues (e.g., clearing browser cache/cookies, navigating system workflows, resolving submission errors) Provide professional, patient, and empathetic customer service, particularly when assisting advisors who may not be technically proficient Manage multiple tasks simultaneously, such as researching payment or engagement status while remaining active on a live call Process advisor and client payments related to financial planning services, including ACH and credit card payments through third‑party vendors (e.g., AdvicePay) Utilize Excel and internal systems to reconcile payment data and ensure accuracy Perform light manual operations work, including: Verifying available funds in internal LPL client accounts prior to processing journal requests Monitoring shared mailboxes and responding to advisor inquiries Sending bulk notifications and communications to advisors as needed Take ownership of advisor inquiries and follow through to resolution in a timely and accurate manner Partner with internal teams to escalate issues, improve workflows, and identify process efficiencies Communicate operational, financial, and procedural guidance clearly and consistently to advisors This role is approximately 90% phone‑based advisor servicing and 10% operational support work.

Requirements

3+ years of experience in financial services, financial planning operations, call center support, or advisor/client servicing preferred (internships included)
Experience working in a high‑volume phone support role with frequent inbound calls
Proficiency in Microsoft Excel and other Microsoft Office applications
Customer service skills, with the ability to communicate clearly, patiently, and professionally
Technical aptitude to troubleshoot basic system and browser issues and guide users through applications
Ability to multitask effectively while maintaining attention to detail and service quality
Organizational skills and follow‑through

Nice To Haves

Experience handling payments, reconciliations, or vendor processing preferred
Bachelor’s degree in finance, business, accounting, or a related field preferred
FINRA SIE, Series 6, or Series 7 a plus

Responsibilities

Serve as front‑line phone support for financial advisors
Support advisors who have recently submitted new financial planning engagements or are calling to check the status of existing engagements and associated payouts
Walk advisors through the financial planning engagement submission application, providing clear guidance and troubleshooting common issues
Resolve basic technical issues (e.g., clearing browser cache/cookies, navigating system workflows, resolving submission errors)
Provide professional, patient, and empathetic customer service, particularly when assisting advisors who may not be technically proficient
Manage multiple tasks simultaneously, such as researching payment or engagement status while remaining active on a live call
Process advisor and client payments related to financial planning services, including ACH and credit card payments through third‑party vendors (e.g., AdvicePay)
Utilize Excel and internal systems to reconcile payment data and ensure accuracy
Perform light manual operations work, including: Verifying available funds in internal LPL client accounts prior to processing journal requests
Monitoring shared mailboxes and responding to advisor inquiries
Sending bulk notifications and communications to advisors as needed
Take ownership of advisor inquiries and follow through to resolution in a timely and accurate manner
Partner with internal teams to escalate issues, improve workflows, and identify process efficiencies
Communicate operational, financial, and procedural guidance clearly and consistently to advisors