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Financial Advisor Assistant - Supporting 4 Advisors (Prior experience as a Financial Advisor or supporting Financial Advisors Needed

Job ID: R-004519 Date posted: 09/18/2018 Primary Location CA-San Diego

LPL FInancial is looking for a skilled Financial Advisor Assistant professional to join our growing division.

We are growth, result and detail-oriented group  of skill professionals looking for individuals who are committed to long term success, achievement of our advisors!

This opportunity involves platinum level high touch service for our Advisors. Knowledge, experience, ability to work independently, adherence to high quality ethical standards is essential for this growth oriented position.

The Financial Advisor Assistant is a full time role located onsite at our San Diego corporate office. The primary role will be to provide middle office services to advisors and their end clients to enhance the service experience in a client-facing role from the home office.  Performing in a team environment and working closely with advisors and end clients this role is expected to provide dedicated day to day support regarding technology, business processing and client management.

Specific responsibilities include:

Day to Day Services: (70%)

  • Communicating daily directly with advisors and clients through a dedicated, toll-free number and by pro-active reach-out to the advisor
  • Calendar management and scheduling of client appointments
  • Research complex situations, set client expectations, and define the actions necessary to resolve inquiries
  • Own inquiries and see it through to a timely resolution
  • Educate advisors and clients on the use of technology to monitor, maintain, and service their operational needs
  • Help drive increased revenue and net new household assets for advisors
  • Assume ownership of inquiries and see them through to a timely resolution
  • Communicate with internal departments to ensure we meet our clients expectations for timely service delivery
  • Submit instructions for account activities on behalf of the advisor and end clients  for brokerage functions (New Accounts, Cash Management, Transfers, Account Maintenance)
  • Manage account notifications and resolution of NIGOs
  • Manage daily reports for account activities that are operational in nature – cash management, RMDs, periodic distributions, debits, pending settlements, etc.
  • Address questions from clients on account activity, policies and statements

Proactive Services: (20%)

  • Assist with information and documentation requirements for new accounts, transfers and complex (non-investment related) activities
  • Proactive reach out to clients and advisors on time sensitive activities - RMDs, distributions and 1099s
  • Reconcile monthly commission and billing statements
  • Assist the advisor in the preparation of upcoming client meetings (i.e., paperwork, requirements, etc.)

Client/Advisor Satisfaction: (10%)

  • Drive customer experience to high levels of satisfaction by adhering to our corporate values
  • Provide daily recaps to the advisor summarizing work completed and outstanding
  • Communicate with internal departments to ensure we meet our clients expectations for timely service delivery

Qualifications:

  • Positive, customer focused attitude and demeanor with a desire to provide outstanding service
  • Previous financial advisor administration experience
  • 2-3 years customer service experience
  • Problem solving skills & attributes; accurate with attention to detail
  • Excellent communication skills, ability to handle multiple projects and deadlines
  • Demonstrated effective use of consultative skills and system knowledge
  • Strong customer focus, work ethic, and extremely organized
  • Experience with CRM applications such as Salesforce and Redtail preferred
  • Outstanding interpersonal skills with the ability to build and foster relationships

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Service and Operations, San Diego, California, United StatesRemove