LPL Financial
Wealth and Retirement Associate
LPL Financial, San Francisco, California, United States, 94199
Job Overview
The Retirement and Wealth Associate plays a crucial role in supporting financial advisors and ensuring an exceptional client experience. This position is responsible for administrative tasks, client relationship management, and operational support within the branch office.
Responsibilities
Provide support across both the 401(k) desk (approximately 60%) and the wealth management side (approximately 40%).
Manage tasks related to retirement plans, leveraging deep experience in this area.
Serve as the first point of contact for clients, providing friendly and professional assistance via phone, email and in person.
Schedule and confirm client meetings, prepare necessary documentation, and assist with follow‑ups.
Address general client inquiries related to account maintenance, statements, and online access.
Ensure timely and accurate processing of client requests, such as beneficiary updates, address changes, RMDs, and account transfers.
Maintain strict confidentiality regarding client information and adhere to compliance guidelines.
Manage calendars, coordinate appointments, and organize client review meetings for financial advisors.
Prepare, proofread, and distribute reports, presentations and correspondence.
Maintain and update client records in the firm’s CRM system, ensuring data accuracy.
Process new account paperwork, ensuring all required documentation is completed and compliant.
Assist in maintaining compliance records, ensuring adherence to FINRA, SEC and firm policies.
Support the team in monitoring client accounts for accuracy and resolving administrative issues.
Coordinate with custodians, fund companies, and other financial institutions to process transactions and resolve client account issues.
Assist in organizing client appreciation events, webinars, and educational seminars.
Help manage social media updates, newsletters, and other client communication initiatives.
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
3+ years of experience in a financial services or administrative support role.
3+ years of experience providing support for retirement plan‑focused business operations.
3+ years of experience utilizing Microsoft Office Suite (Word, Excel, Outlook, PowerPoint).
Core Competencies
Strong organizational skills with keen attention to detail.
Excellent verbal and written communication skills.
Strong problem‑solving skills, and the ability to work both independently and with a team.
Preferences
Experience utilizing CRM systems.
High level of professionalism, discretion, and ethical conduct.
Associate or bachelor’s degree, preferably in business, accounting or finance.
Proficiency in Spanish is highly valued for enhancing client communication.
Pay Range $22.82 – $38.04 per hour.
Benefits & Total Rewards LPL offers a competitive Total Rewards package, including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more to support your success at work, at home, and at play.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth management firms in the U.S. We support over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets for about 7 million Americans.
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: A supportive, responsive leadership team fosters creativity and growth.
Limitless Career Potential: Your career at LPL has no limits.
Unified Mission: One team, one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real 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: A mix of traditional and unique benefits, perks, and resources.
Information on Interviews LPL will only communicate directly with a job applicant from an email address ending in @lplfinancial.com 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. For questions about the application process, contact LPL’s Human Resources Solutions Center at 855‑575‑6947.
E‑O‑E. Principals only.
#J-18808-Ljbffr
Responsibilities
Provide support across both the 401(k) desk (approximately 60%) and the wealth management side (approximately 40%).
Manage tasks related to retirement plans, leveraging deep experience in this area.
Serve as the first point of contact for clients, providing friendly and professional assistance via phone, email and in person.
Schedule and confirm client meetings, prepare necessary documentation, and assist with follow‑ups.
Address general client inquiries related to account maintenance, statements, and online access.
Ensure timely and accurate processing of client requests, such as beneficiary updates, address changes, RMDs, and account transfers.
Maintain strict confidentiality regarding client information and adhere to compliance guidelines.
Manage calendars, coordinate appointments, and organize client review meetings for financial advisors.
Prepare, proofread, and distribute reports, presentations and correspondence.
Maintain and update client records in the firm’s CRM system, ensuring data accuracy.
Process new account paperwork, ensuring all required documentation is completed and compliant.
Assist in maintaining compliance records, ensuring adherence to FINRA, SEC and firm policies.
Support the team in monitoring client accounts for accuracy and resolving administrative issues.
Coordinate with custodians, fund companies, and other financial institutions to process transactions and resolve client account issues.
Assist in organizing client appreciation events, webinars, and educational seminars.
Help manage social media updates, newsletters, and other client communication initiatives.
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
3+ years of experience in a financial services or administrative support role.
3+ years of experience providing support for retirement plan‑focused business operations.
3+ years of experience utilizing Microsoft Office Suite (Word, Excel, Outlook, PowerPoint).
Core Competencies
Strong organizational skills with keen attention to detail.
Excellent verbal and written communication skills.
Strong problem‑solving skills, and the ability to work both independently and with a team.
Preferences
Experience utilizing CRM systems.
High level of professionalism, discretion, and ethical conduct.
Associate or bachelor’s degree, preferably in business, accounting or finance.
Proficiency in Spanish is highly valued for enhancing client communication.
Pay Range $22.82 – $38.04 per hour.
Benefits & Total Rewards LPL offers a competitive Total Rewards package, including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more to support your success at work, at home, and at play.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth management firms in the U.S. We support over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets for about 7 million Americans.
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: A supportive, responsive leadership team fosters creativity and growth.
Limitless Career Potential: Your career at LPL has no limits.
Unified Mission: One team, one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real 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: A mix of traditional and unique benefits, perks, and resources.
Information on Interviews LPL will only communicate directly with a job applicant from an email address ending in @lplfinancial.com 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. For questions about the application process, contact LPL’s Human Resources Solutions Center at 855‑575‑6947.
E‑O‑E. Principals only.
#J-18808-Ljbffr