What are the responsibilities and job description for the New Client Onboarding position at LPL Financial Holdings, Inc.?
Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Job Overview :
The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment. Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL's Independent Advisor Services, Institution Services, and Hybrid RIA channels. Associate Onboarding Consultants (AOC) will conduct compliance reviews for prospects who qualify under low-risk profile criteria.
Responsibilities :
- Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects.
- Successfully consult & manage all onboarding and integration activities with individual prospects and large groups including individuals converting between LPL platforms.
- Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality of advisor information.
- Conduct Low Risk Compliance reviews and facilitate discussions with prospects in the event additional items are required to complete Approval for affiliation.
- Work closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial.
- Facilitate process for existing LPL advisors to convert to the Hybrid RIA platform on LPL Financial.
- Coordinate the OBA Review Process by reaching out to the advisor to gather all required information to prepare & send over to our Advisor & OBA Review business partners.
- Provide superior customer service to prospects by handling incoming inquiries on the department phone line regarding completion of the online registration package.
- Coordinate training on systems and processes with advisors and / or their office staff.
- Collaborate with appropriate business areas to answer prospects' questions and act as a single point of contact in order to provide a quality onboarding experience.
- Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc.
- Flexibility to work evening hours and weekends if applicable based on volumes or projects.
- Support department projects and initiatives as necessary.
- Support other functions of the team such as reporting, data migration, service, etc. if applicable.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a fast-paced environment , are client-focused , team oriented , and are able to execute in a way that encourages creativity and continuous improvement .
Requirements :
Core Competencies :
Preferences :
Pay Range : 21.44-$35.73 / hour
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?
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
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.
EAC1.22.25
Salary : $21 - $36
