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LPL Financial · 1 day ago

Senior Financial Representative

United States

Full-time

Remote

Mid, Senior Level

$90K/yr - $150K/yr

2+ years exp

LPL Financial is a leading independent broker-dealer that empowers professionals to shape their success while helping clients pursue their financial goals. The Senior Financial Representative will provide investment solutions to mass affluent investors, maintain client relationships, and ensure compliance while delivering exceptional service and financial planning.

FinanceFinancial Services

Responsibilities

Customer Service: Advisors are responsible for all functions of client relationship maintained including providing an exceptional service via incoming service calls, directing client transactions, preparing necessary client reports and forms, responding to client emails and proactive client outreach

Book Maintenance: Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check ins and outreach

Financial Planning: Advisors should have a detailed understanding of all aspects of the financial planning process. Advisors should be effecting at collecting and analyzing client data, developing and implementing appropriate solutions, as well as reviewing and maintaining those solutions on an ongoing basis. Advisors will need to knowledgably speak to core concepts such as education, tax, estate, insurance and investment allocation on a daily basis

Investment Solutions: Clients on our book possess a very wide range of different investment accounts and strategies. Advisors have the freedom to utilize investment vehicles that are most suitable for clients. Advisors should have a detailed understanding of all account types, investment products, and investment markets in order to field questions from our diverse client base

Consultative Sales: Advisors will be responsible for meeting goals in asset investment, wallet share consolidation, and relationship deepening metrics. Advisors will need to be well versed in the consultative sales process in order to demonstrate the value of LPL as well as position financial plans and investment solutions that are appropriate for the client

Business Partnership: Facilitate communication and coordination between departments to ensure smooth client experience and integration. Proactively engage in interdepartmental collaboration to enhance processes and integrate new partnerships and practices to enhance what our team can deliver for clients

Risk Mitigation: Remain in good standing with various compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations

Qualification

Series 7Financial planning conceptsInvestment solutionsLife & HealthCFPClient relationship managementFinancial services experienceEntrepreneurial mindsetProficient in Microsoft OfficePCData input skillsCommunication skillsDetail oriented

Required

Bachelor's degree or equivalent working experience

Series 7, 63 and 65 or 66

2+ years of direct client experience within the financial services industry

Preferred

Life & Health or CFP

Must have excellent telephone service/relationship management skills

Prior financial tele-sales, trading or call center service experience

Previous experience as financial advisor or delivering advice and guidance to retail clients

Strong understanding of financial planning concepts, investment markets, and account types

Must have excellent communication skills, an avid listener, and strong business writing skills

Entrepreneurial mind set, self-starter and quickly adapt to a fast paced environment

High integrity, detail oriented and ability to evaluate and mitigate risk

Proficient in Microsoft Office and web based applications

Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills