Assistant Financial Planner Jobs in Raleigh, NC (NOW HIRING)

Where Ambition Meets Innovation

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.

Job Overview:
As a Registered Client Service Associate, you will provide comprehensive administrative and operational support
within the financial advisor's practice. This role is pivotal in enhancing the client experience, ensuring seamless
account management, and upholding compliance standards. The ideal candidate is dedicated and detailed-
oriented. Possess strong organizational skills, exceptional communication abilities, and a commitment to
delivering outstanding client service.

Responsibilities:
Acts as the primary point of contact for clients, addressing inquires and providing timely resolution.
Educates clients on account services and capabilities, including online access.
Assist in onboarding new clients by collecting documentation and facilitating account setup.
Prepare and process account opening, maintenance, and transfer documentation, ensuring accuracy and
compliance.
Monitor and manage client account activities, this may include contributions, distributions, trading and
performance reporting.
Maintain organized and up-to-date client records in the firm's CRM system.
Ensure adherence to industry regulations and firm policies in all client interactions and documentation.
Assist in preparing reports for audits and regulatory reviews.
Stay informed about changes in compliance requirements and implement necessary adjustments to
processes.
Coordinate with custodians and service providers to facilitate client requests and resolve issues.
Assist financial advisors with administrative tasks, including scheduling meetings and preparing client
presentations.
Participate in team projects aimed at improving operational efficiency and client service delivery.
May aid in planning and execution of client events, seminars and marketing initiatives.
Prepare and distribute client communications, newsletters and marketing updates.
Identify opportunities to enhance client engagement and contribute to business growth strategies.

What are we looking for?

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Active Series 7 or Series 66 (or Series 63/65 combination) required.

• Strong knowledge of financial products and services, with the ability to execute trades and discuss investment recommendations within compliance guidelines.

• Excellent communication, interpersonal, and problem-solving skills, with a high level of professionalism, discretion, and ethical conduct.

• Highly organized and detail-oriented, with proficiency in Microsoft Office and financial CRM systems; able to work both independently and collaboratively in a fast-paced environment.

Preferences:
Bachelor's degree in finance, business or accounting.
Minimum 3 years in financial services, preferably in a client support role.

#LI-Onsite

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports 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, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

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

Information on Interviews:

LPL will only communicate with a job applicant directly from an@lplfinancial.comemail address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at(855) 575-6947.

EAC 5.19.26