LPL Financial
Sr. Analyst, Financial Planning Supervision
LPL Financial, Raleigh, North Carolina, United States
Overview
Join to apply for the
Sr. Analyst, Financial Planning Supervision
role at
LPL Financial . The Financial Planning Analyst within Home Office Supervision will work with a team of fellow analysts to support the oversight of Financial Planning Engagements. The Analyst will be responsible for completing front-line financial planning supervisory tasks on a daily basis and ongoing monitoring of the financial planning process. Emphasis will be placed upon completing tasks according to the established Service Level Agreements and at a high level of quality. Responsibilities
Review of financial planning engagements meeting certain criteria Review and approval of financial planning deliverables Analysis of trends and patterns to identify potential sales practice concerns Collaboration with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns Conduct reviews of investment proposal tools Support the development of projects designed to enhance LPL’s current supervisory program for financial planning services Partner with internal technology teams and external financial planning software providers Consult on the development of controls to help address control gaps and weaknesses What we’re 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
Bachelor’s Degree 2+ years' experience in supervision 2+ years' experience with financial planning preparation/deliverables Series 7, 66 (or 63 and 65), required; willingness to obtain 24 (or 9 and 10) within 120 days Strong knowledge of financial planning and investment advisory services Core Competencies
Excellent written and oral communication skills Extensive knowledge and experience interpreting the Investment Advisors Act Strong industry acumen, self-starter and the ability to work with minimal supervision Pay Range
$73,088-$121,813/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! Company Overview
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. 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. Join LPL Financial: Where Your Potential Meets Opportunity. At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Impactful Work: Our size enables meaningful impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives. Community Focus: We care for our communities and encourage employees to do the same. Benefits and Total Rewards: Our package includes a mix of benefits, perks, and resources to enhance life at work and home. 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. If you have questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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Join to apply for the
Sr. Analyst, Financial Planning Supervision
role at
LPL Financial . The Financial Planning Analyst within Home Office Supervision will work with a team of fellow analysts to support the oversight of Financial Planning Engagements. The Analyst will be responsible for completing front-line financial planning supervisory tasks on a daily basis and ongoing monitoring of the financial planning process. Emphasis will be placed upon completing tasks according to the established Service Level Agreements and at a high level of quality. Responsibilities
Review of financial planning engagements meeting certain criteria Review and approval of financial planning deliverables Analysis of trends and patterns to identify potential sales practice concerns Collaboration with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns Conduct reviews of investment proposal tools Support the development of projects designed to enhance LPL’s current supervisory program for financial planning services Partner with internal technology teams and external financial planning software providers Consult on the development of controls to help address control gaps and weaknesses What we’re 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
Bachelor’s Degree 2+ years' experience in supervision 2+ years' experience with financial planning preparation/deliverables Series 7, 66 (or 63 and 65), required; willingness to obtain 24 (or 9 and 10) within 120 days Strong knowledge of financial planning and investment advisory services Core Competencies
Excellent written and oral communication skills Extensive knowledge and experience interpreting the Investment Advisors Act Strong industry acumen, self-starter and the ability to work with minimal supervision Pay Range
$73,088-$121,813/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! Company Overview
LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. 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. Join LPL Financial: Where Your Potential Meets Opportunity. At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Impactful Work: Our size enables meaningful impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives. Community Focus: We care for our communities and encourage employees to do the same. Benefits and Total Rewards: Our package includes a mix of benefits, perks, and resources to enhance life at work and home. 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. If you have questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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