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Wealth Associate

LPL Financial

LPL Financial

Carmel-By-The-Sea, CA, USA
Posted on Tuesday, June 4, 2024

Are you comfortable with analyzing and interpreting portfolio performance reviews? Do you have experience with client relationship building and business development? Do you have experience with financial planning and investment research? Are you comfortable with managing multiple projects and priorities? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

This is an on-site employment opportunity in Newport Beach, CA that would allow you to support Financial Advisors associated with LPL Financial. The financial advisors operate under our Employee Advisor Model. You will join a team that is dedicated to helping clients in every stage of their financial life. (Candidate is expected to be in the office 5 days a week - NOT REMOTE)

Job Overview:

The primary role of the Wealth Associate I is to provide administrative, client relationship and investment support to an advisor or team of advisors, including any and all daily, monthly, and annual tasks, research and reporting. The Wealth Associate I helps the advisor maintain his or her practice and deliver positive results for the advisor’s clients through their support role.

The ideal candidate will have a strong attention to detail, excellent customer services skills (both verbal and written), and a proven ability to adapt to a changing work environment. Additionally, Wealth Associate I must work independently and confidently while managing established clients.

Responsibilities:

  • Independently hold routine meetings with established clients when needed
  • Assist in executing trades for clients as needed to support the Financial Advisor
  • Assist Financial Advisors in investment research and financial planning
  • Develop customized asset allocation strategies and investment solutions for clients
  • Provide support for client relationship building and business development activities
  • Perform business analytics as needed to support financial advisors in the growth of the business
  • Analyze and interpret portfolio performance reviews and make recommendations to financial advisors for potential change
  • Inbound client calls, schedule appointments, and prepare materials for client meetings
  • Keep client management systems up-to-date with client information
  • Assist with various documentation requirements for new business
  • Manage account activities that are operational in nature – new accounts, cash management, transfers, and account maintenance (e.g., periodic distributions, debits)
  • Conduct proactive outreach to clients and advisors on time sensitive activities (e.g., RMDs)
  • Assume ownership of inquiries and requests; communicate with internal departments to ensure clients’ expectations for timely service delivery are met
  • Educate clients on account services, capabilities, and new technology – eSignature, paperless statements, Account View (client portal), etc.
  • Partners with Financial Advisor to strategize on opportunities to meet the needs of clients

Preferences:

  • Bachelor's degree or equivalent in Finance or Business Administration
  • Experience working with Financial Advisors, Branch and Home Office support teams
  • Additional financial services certifications/designations

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here!

Want to see info on our benefits? Learn more here.


Pay Range:

$69,760-$104,640/year


Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!


Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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.com email 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.