Senior Financial Representative

About the Role

As a Senior Financial Representative in the Wealth Advisors Group, you will be part of a team of corporate employee advisors providing investment solutions to mass affluent investors virtually and over the phone. You will help maintain a book of 120,000 clients, assess their immediate and long-term investment needs, and design solutions tailored to their individual financial goals. This role operates in a competitive, team-based environment focused on employee career development, delivering a best-in-class client experience, and holistic financial planning.

Responsibilities

• Customer Service: Manage all aspects of client relationships, including providing exceptional service via incoming calls, directing client transactions, preparing reports and forms, responding to emails, and conducting proactive outreach.
• Book Maintenance: Collaborate with the team to ensure our book of 120,000+ clients is operationally maintained, compliant, and meets client experience commitments through proactive check-ins and outreach.
• Financial Planning: Demonstrate a detailed understanding of the financial planning process, including collecting and analyzing client data, developing and implementing solutions, and maintaining those solutions over time. Speak knowledgeably about core concepts such as education, tax, estate, insurance, and investment allocation.
• Investment Solutions: Address a wide range of client investment accounts and strategies. Utilize suitable investment vehicles and maintain a detailed understanding of account types, investment products, and markets to field questions from a diverse client base.
• Consultative Sales: Meet goals in asset investment, wallet share consolidation, and relationship deepening. Use consultative sales techniques to demonstrate LPL’s value and position appropriate financial plans and investment solutions for clients.
• Business Partnership: Facilitate communication and coordination between departments to ensure a smooth client experience and integration. Engage in interdepartmental collaboration to enhance processes and integrate new partnerships and practices.
• Risk Mitigation: Maintain compliance with requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud through security checks and client conversations.

Requirements

• Bachelor’s degree or equivalent working experience.
• Series 7, 63, and 65 or 66 licenses.
• 2+ years of direct client experience within the financial services industry.

Preferred Qualifications

• Life & Health or CFP certification.
• Excellent telephone service and relationship management skills.
• Prior financial tele-sales, trading, or call center service experience.
• Experience as a financial advisor or delivering advice to retail clients.
• Strong understanding of financial planning concepts, investment markets, and account types.
• Excellent communication skills, active listening, and strong business writing abilities.
• Entrepreneurial mindset, self-starter, and ability to 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 a call center environment while accessing data via multiple PC applications; strong PC and data input skills.

Pay

The pay range for this position is $90,000 - $150,000, inclusive of base salary and potential sales incentive compensation based on performance goals. Base salary is determined by factors such as relevant skills, experience, education, internal peer salaries, demonstrated performance, and geographic location.

Benefits

LPL offers a highly competitive Total Rewards package, including:

• 401K matching.
• Health benefits.
• Employee stock options.
• Paid time off and volunteer time off.
• Additional benefits designed to support your success at work, at home, and beyond.