Financial Planning Operations Associate
About The Position
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. 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.
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
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
