Assoc Service Consultant

Are you a team player? Are you curious to learn? Do you have a passion for helping with complex scenarios? Do you like thinking outside the box, learning new skills and problem solving?

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview: Our Associate Service Professional in Compliance, Registration, and Continuing Education will provide superior customer service to a large base of financial advisors as the first line of contact for various issues including rules, regulations, licensing, insurance appointments, and required trainings.

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:

• 1-2 years of previous customer service experience
• Excellent oral and written communication skills
• Ability to quickly learn and maintain knowledge in a very dynamic environment
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills
• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations required
• Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 120 days of employment

Core Competencies:

• Analytical
• Reliable
• Team Player

Preferences:

• 1-2 year of financial services experiences focused on investment products
• Previous working knowledge of securities licensing and insurance licensing
• Proactive collaboration and service-based responses with business partners on escalated issues
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio

#LI-PA

Pay Range:

$20.48-$34.13/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!

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

We take social responsibility seriously.

Want to see info on our benefits?

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.