What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial.
Job Overview:
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. Great 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 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:

• 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

• 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 weaknesse