LPL Financial
Group Retirement Plan Specialist
LPL Financial, Fort Mill, South Carolina, United States, 29715
Job Overview
The Wealth Advisor Group Retirement Plan Specialist will participate in the development, launch, and acceleration of a team-based advisor model supporting Group Retirement Plan clients at LPL. This role focuses on assisting plan sponsors in a phone-based advisory model to strengthen relationships and ensure the compliant management of group retirement plans. The Specialist will closely collaborate with plan sponsors, business executives, and record keepers using the LPL platform for advisory services. The ideal candidate will have a strong understanding of the financial services industry and group retirement plan management, with proven success in a fast‑paced, dynamic environment. Outstanding customer service and effective communication skills are essential.
Job Responsibilities
Client Management: Deliver a best‑in‑class experience for plan sponsors, group retirement plan participants, and record keeper partners. Conduct regular meetings with management teams, resolve complex issues promptly, provide tailored recommendations to meet client needs, coordinate client events, educate on financial planning and group retirement plans, consult on regulatory changes, and assist in delivering and interpreting plan testing results.
Customer Service: Responsible for all functions of plan service including providing exceptional customer service via incoming calls, responses to emails and proactive client outreach. Requires solid knowledge of plan products, features and benefits, and ability to articulate to clients/financial advisors.
Risk Management: Assist plan sponsors in ensuring the compliant delivery of group plan requirements. Educate clients on plan features and product capabilities while identifying, documenting, and addressing risks to enhance client satisfaction and retention. Utilize supervision and compliance tools to document fiduciary responsibilities and convey guidance to plan.
Investment Solutions: Experienced in describing, implementing, and maintaining the full suite of investment strategies available to clients. Evaluate existing investment strategies and provide recommendations based on participant and plan goals. Includes but is not limited to stocks, bonds, ETFs, mutual funds, advisory solutions, fixed income, and alternative investments.
Requirements
5+ years financial services experience, preferably with 5+ years in defined contribution plan consulting or administration.
Series 7 & 66 license.
Completion or in progress of one of the following designations: CFP, CRPC, ASPPA, CEBS, CPFA, PPC.
Core Competencies
Provide proactive, high‑quality client service with a focus on retirement plan rules and products.
Communicate clearly, concisely, and professionally with clients, team members, and internal departments.
Conduct thorough research and problem‑solving to resolve client issues efficiently.
Build effective relationships with team members, internal departments, and external vendors to deliver exceptional service.
Demonstrate a deep understanding of retirement plans, ERISA, DOL, and IRS regulations, as well as plan documents.
Possess comprehensive regulatory knowledge of 401(k), defined contribution plans, 403(b), and related products.
Preferences
Familiarity with plan design consulting, investment due diligence, and participant education strategies.
Ability to adapt to a fluid, fast‑paced environment with frequently changing priorities, processes, and requirements.
A desire to build and test new client experiences and processes.
A passion for consultative sales management, and a deep commitment to client service.
Excellent communication skills and experience facilitating phone and virtual client interactions.
Investment and advisory experience required.
Critical and strategic thinking skills, as well as being a self‑motivated team player, are essential.
Proficiency using Broadridge Fiduciary Toolkit and Salesforce CRM systems.
Pay Range $78,900‑$131,500/year. Actual base salary varies based on factors including but not limited to relevant skill, prior experience, education, with internal peer comparison, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports 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 on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Why LPL?
Innovative Environment: Foster creativity and growth, with a supportive and responsive leadership team.
Limitless Career Potential: No limits, only amazing potential.
Unified Mission: One team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: The size is just right to make a real impact.
Commitment to Equality: Support workplace equality and embrace diverse perspectives.
Community Focus: Care for our communities and encourage employees to do the same.
Benefits and Total Rewards: Includes a mix of traditional and unique benefits, perks, and resources designed to enhance life at work and at 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. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance and Sales
EAC1.22.25
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Job Responsibilities
Client Management: Deliver a best‑in‑class experience for plan sponsors, group retirement plan participants, and record keeper partners. Conduct regular meetings with management teams, resolve complex issues promptly, provide tailored recommendations to meet client needs, coordinate client events, educate on financial planning and group retirement plans, consult on regulatory changes, and assist in delivering and interpreting plan testing results.
Customer Service: Responsible for all functions of plan service including providing exceptional customer service via incoming calls, responses to emails and proactive client outreach. Requires solid knowledge of plan products, features and benefits, and ability to articulate to clients/financial advisors.
Risk Management: Assist plan sponsors in ensuring the compliant delivery of group plan requirements. Educate clients on plan features and product capabilities while identifying, documenting, and addressing risks to enhance client satisfaction and retention. Utilize supervision and compliance tools to document fiduciary responsibilities and convey guidance to plan.
Investment Solutions: Experienced in describing, implementing, and maintaining the full suite of investment strategies available to clients. Evaluate existing investment strategies and provide recommendations based on participant and plan goals. Includes but is not limited to stocks, bonds, ETFs, mutual funds, advisory solutions, fixed income, and alternative investments.
Requirements
5+ years financial services experience, preferably with 5+ years in defined contribution plan consulting or administration.
Series 7 & 66 license.
Completion or in progress of one of the following designations: CFP, CRPC, ASPPA, CEBS, CPFA, PPC.
Core Competencies
Provide proactive, high‑quality client service with a focus on retirement plan rules and products.
Communicate clearly, concisely, and professionally with clients, team members, and internal departments.
Conduct thorough research and problem‑solving to resolve client issues efficiently.
Build effective relationships with team members, internal departments, and external vendors to deliver exceptional service.
Demonstrate a deep understanding of retirement plans, ERISA, DOL, and IRS regulations, as well as plan documents.
Possess comprehensive regulatory knowledge of 401(k), defined contribution plans, 403(b), and related products.
Preferences
Familiarity with plan design consulting, investment due diligence, and participant education strategies.
Ability to adapt to a fluid, fast‑paced environment with frequently changing priorities, processes, and requirements.
A desire to build and test new client experiences and processes.
A passion for consultative sales management, and a deep commitment to client service.
Excellent communication skills and experience facilitating phone and virtual client interactions.
Investment and advisory experience required.
Critical and strategic thinking skills, as well as being a self‑motivated team player, are essential.
Proficiency using Broadridge Fiduciary Toolkit and Salesforce CRM systems.
Pay Range $78,900‑$131,500/year. Actual base salary varies based on factors including but not limited to relevant skill, prior experience, education, with internal peer comparison, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports 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 on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Why LPL?
Innovative Environment: Foster creativity and growth, with a supportive and responsive leadership team.
Limitless Career Potential: No limits, only amazing potential.
Unified Mission: One team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: The size is just right to make a real impact.
Commitment to Equality: Support workplace equality and embrace diverse perspectives.
Community Focus: Care for our communities and encourage employees to do the same.
Benefits and Total Rewards: Includes a mix of traditional and unique benefits, perks, and resources designed to enhance life at work and at 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. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance and Sales
EAC1.22.25
#J-18808-Ljbffr