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VP, Advanced Planning Consultant

Job ID: R-001390 Date posted: 11/08/2017 Primary Location CA-San Diego

The advanced planning/tax attorney will focus on supporting all segments of business for LPL Financial and the affiliated LPL Financial advisors.  This role will be a cross functional resource utilized by both home office employees, departments and affiliated advisor to provide daily support in the advanced planning and tax arena.  The position will be located as part of the National Sales and Consulting teams.  The three primary support departments will include LPL Insurance Associates, Private Client and Financial Planning.  The role will also support our legal, compliance, business development, business consulting groups and other areas as needed.  This individual will be required to interact with advisors, end investors, CPA and attorneys, in addition to LPL leadership.

Essential Functions:

1.   Training & Education - Consult with financial advisors about all aspects of product & services to match the most applicable combination of practice management, economics, features and functionality to the client's needs.

2.   Case Consultations & Design – Consult with advisors to understand client needs, provide case design, risk class assessment, illustrations and recommends of suitable products and carriers to meet those needs.  Assure appropriate sales materials are packaged to the advisor and engage them to help them understand and make adjustments to the case as needed.  Engage with advisors to help them offer and sell the products.

3.   Advanced Concepts & Marketing-  Provide overview of advanced sales concepts, consult with carrier wholesalers and refer cases to our Business Development officers or Premier Case Service as necessary.  Assist business development by developing awareness of events, initiatives and responds to questions surrounding them. Particpate in recruiting events.

4.   Articulate market and economic impacts as well as the technical investment characteristics of portfolios and underlying securities.

5.   Consult on applicable supporting technology including, but not limited to portfolio analytic tools, investor presentation and proposal tool, trading and rebalancing tool and LPL BranchNet management/trading tools.

6.   Articulate our value proposition and four pillars of support and provides an overview of advanced sales concepts.

7.   With little direct supervision, problem solve a myriad of issues relating to compliance, operations, and technology concerns.

Other Job Duties:  (Provide details of items that are specific and unique to this position).

1.   Leverage skills to diagnose advisor and client needs to provide appropriate options for consideration

2.   Assist advisors with analyses of existing prospect portfolios

3.   Through training maintain up-to-date job knowledge on proposal tools and other resources that assist advisors throughout the sales and service process with investors. Maintain current knowledge and understanding of LPL's offerings, Sponsor products, market dynamics and industry trends, etc.

4.   Work collaboratively across business units to provide service and to facilitate cross referrals

5.   Participate in appropriate professional development activities to best provide support to advisors and their clients which may include pursuit of certain professional designations and continuing education.

6.  Limited participate in field business planning eventsPrimary Focus Areas:

1.  Complex Case Support – support insurance, planning and private client with case development and strategies for high net worth and high income clients.  Specialize in tax implications and all areas of planning to include estate, business and charitable considerations.  Interact with advisors and investors to present concepts and solutions.  Provide conceptual support and idea sharing on complex opportunities with internal staff. 

2.  Education and Training – provide both staff and affiliated advisors with concepts, case studies and updates on the changing planning and tax environment.  This to include webinars, conference calls, participation in staff meetings, speaking at conferences and writing and producing collateral on these various topics.  This will include representing the firm at conferences, events and industry functions.

3.  Firm-wide Resource – provide subject matter expertise to various LPL departments to include our legal and compliance teams.  Create/Influence policy and framework for the utilization of complex strategies to both grow and protect our business and our advisor practices.  Partner with business consulting and relationship management to participate in study groups and other in-market events to achieve awareness of our capabilities in addition to driving revenue growth and profitability.

Responsibilities include:  

  • Collaboration with internal and external professionals - Must be effective in collaborating with internal and external subject matter experts while respecting existing client relationships.  These existing client relationships include tax, legal, insurance and real estate professionals.
  • Research – Must have the ability to research, reference, and incorporate complex tax and planning strategies into consultations.
  • Analysis and proposal creation – must be able to create or assist in the creation of advanced planning and tax-related analyses and proposals.
  • Authoring internal and external publications - Must be able to assist in the creation of articles for various external and internal publications, writing copy for brochures and creating client facing materials such as fact finders.  These publications could include white papers, research documents, and trade publications.
  • Public speaking – must have the ability to convey advanced subject matter in small and large public speaking opportunities. 

Job Requirements:

Minimum Education Required:

  • Bachelor’s Degree in business or related field preferred required:  JD required

Minimum Experience Required:

  • 10+ years of financial services experience, advanced planning
  • Advanced Designation preferred:  LLM, CPF, CLU , CFP, CFA
  • Private Practice experience preferred
  • Minimum Experience Required: 3-5 years of sales experience

Demonstrated excellent customer service skills including communication skills (both verbal and written), the ability to multi-task and follow up, as well as the ability to maintain a positive client experience while diffusing tense situations

Demonstrated ability to use independent judgment to make decisions and solve problems

Demonstrated ability to excel in a fast-paced, client- centric team consultative environment encompassing multiple disciplines and product lines

Demonstrated drive for professional growth and development

Licenses/Certifications Required/RequiredPreferred: Licensure and Certifications are required and are dependent of the product line(s) supported. Required licenses and certifications may include: Life & Health License, Series 7, Series 6, Series 66/65.

Software/Systems Skills Required/Preferred: Including but not limited to MS Office, Salesforce, eMoney Advisor, Crescendo, Number Cruncher, Tiger Tables and other planning systems.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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