Financial Planning Operations Associate

LPL Financial • Fort Mill, SC

1d

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. This role is approximately 90% phone-based advisor servicing and 10% operational support work. LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S., supporting 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. LPL believes that everyone deserves objective financial guidance and offers an integrated platform of cutting-edge technology, brokerage, and investment advisor services. The company fosters creativity and growth, provides a supportive and responsive leadership team, and offers limitless career potential. LPL is committed to workplace equality, embraces diverse perspectives, and focuses on community involvement.

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

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 1,001-5,000 employees