Financial Planning Assistant

The Financial Planning Assistant provides administrative, operational, and client service support to the Financial Advisor by coordinating meetings, preparing financial planning materials, processing account transactions, maintaining client records, and ensuring accurate documentation. This role serves as a key point of contact for clients, helping deliver an exceptional service experience while supporting compliance with company and regulatory requirements. The ideal candidate is highly organized, proactive, detail-oriented, and able to manage multiple priorities in a fast-paced environment.

Major Duties and Responsibilities 

• Communicate professionally and effectively with clients, advisors, internal departments, and partners.
• Demonstrate initiative, accountability, and the ability to work independently with minimal supervision.
• Utilize available resources, systems, and training materials to resolve issues and answer questions.
• Learn new systems, products, and processes quickly and adapt to changing priorities.
• Manage multiple tasks, deadlines, client requests, and systems while maintaining accuracy and organization.
• Exercise sound judgment, follow through on responsibilities, and proactively address issues or delays.

Client Service & Communication

• Respond to client inquiries regarding accounts, documentation, and administrative requests.
• Assist clients with online account access and account-related resources.
• Resolve service issues, communicate processing timelines, and set clear expectations.
• Provide phone support, maintain client records, and support referral opportunities.

Financial Planning & Meeting Support

• Prepare for client reviews and financial planning meetings by gathering and organizing account records, financial data, and supporting documentation.
• Compile financial planning information and reports for advisor review.
• Prepare agendas, meeting materials, summaries, and follow-up items.
• Participate in client meetings when appropriate.

Account Administration & Transaction Processing

• Review, prepare, and process account documentation in accordance with company and regulatory requirements.
• Process client transactions, including contributions, distributions, and ACH activity.
• Monitor paperwork, transactions, deposits, account alerts, and activity through completion.
• Assist with issue resolution and quarterly account statement reviews.

Scheduling & Coordination

• Manage the financial advisor's calendar and schedule client and partner meetings.
• Coordinate meeting logistics, preparation, documentation, and follow-up activities.

Records & Administrative Support

• Maintain organized client files, records, and tracking systems.
• Retrieve documents and records as needed.
• Provide administrative support to the Financial Planning Department.

Compliance & Procedures

• Adhere to all company, regulatory, and LPL Financial policies and procedures.
• Maintain accurate, complete, and compliant documentation.
  
  

Knowledge and Skills

Experience

Six months to two years of similar or related experience, including time spent in preparatory positions.

Education/Certifications/Licenses

A high school degree or GED is required.

Interpersonal Skills

A significant level of trust, credibility and diplomacy is required. In-depth dialogue, conversations and explanations with customers, direct and indirect reports and outside vendors can be of a sensitive and/or highly confidential nature. Communications may involve motivating, influencing, educating and/or advising others on matters of significance. Typically includes subject matter experts as well as first level to middle managers.

Other Skills

Proficient in Microsoft Office Suite or other related software. Excellent organizational skills and attention to detail.

ADA Requirements

Physical Requirements

Perform primarily sedentary work with limited physical exertion and occasional lifting of up to 35 lbs. Must be capable of climbing / descending stairs in emergency situation. Must be able to operate routine office equipment including telephone, copier, facsimile, and calculator. Must be able to routinely perform work on computer for an average of 6-8 hours per day, when necessary. Must be able to work extended hours whenever required or requested by management. Must be capable of regular, reliable and timely attendance.

Working Conditions

Must be able to routinely perform work indoors in climate-controlled shared work area with minimal noise.

Mental and/or Emotional Requirements

Must be able to perform job functions independently or with limited supervision and work effectively either on own or as part of a team. Must be able to read and carry out various written instructions and follow oral instructions. Must be able to speak clearly and deliver information in a logical and understandable sequence. Must be able to perform basic financial calculations with extreme accuracy. Must be capable of dealing calmly and professionally with numerous different personalities from diverse cultures at various levels within and outside of the organization and demonstrate highest levels of customer service and discretion when dealing with the public. Must be able to perform responsibilities with composure under the stress of deadlines / requirements for extreme accuracy and quality and/or fast pace. Must be able to effectively handle multiple, simultaneous, and changing priorities. Must be capable of exercising highest level of discretion on both internal and external confidential matters.