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Assoc Service Consultant

Job ID: R-001537 Date posted: 12/29/2017 Primary Location SC-Fort Mill

An Associate Service Consultant supports the purchase of Alternative Investments in a call center environment with 14-16 representatives, all supporting aggregate daily call volumes of 225-275 calls from Financial Advisors and their assistants, as well as internal business partners. Associates must understand Alternative Investment products, risks, and differences between Alternative Investment product features. Associates must also understand and be able to explain the regulatory requirements and LPL policies that govern the sale of Alternative Investments. Associate acts as an initial point of contact for training and escalations, and assists the management team with goal setting, project work, managing daily work flow, establishing procedures and communicating procedural changes as they relate to the AI Order Entry Desk.

Associate will be expected to maintain detailed knowledge of LPL processes and system platforms as they relate to Alternative Investments. Associates are responsible for identifying, reporting, tracking, and assisting with system and operational issues. Associates must be familiar with inner workings of Alternative Investments platforms and their relation to LPL back-office applications. Associate must be able to identify and troubleshoot LPL and system issues as they arise and work with appropriate parties or resolution. Associate will: assume a lead role for coordinating system testing and assisting with system enhancements, act as an active participant in project meetings related to system enhancements and change, and actively participate in the project request process.

Associate will ensure compliance with regulatory requirements and adapt to regulatory changes, be able to identify how regulatory changes will impact Alternative Investment Processing, and assist with changing procedures to adapt to changes. Actively review procedures, identify areas of risk, and ensure controls are in place to mitigate risk. Ensure business continuity plans are in place to support system outages and assist with quarterly review of department business continuity plans.

Maintain detailed knowledge about Alternative Investment Products supported by the Alternative Investments Order Entry system and be able to explain the differences between the product features to advisors, clients and internal business partners as well as fellow peers.

Support fellow Associates by acting as a point of contact for escalated items. Collaborate with internal business partners to assist with resolving escalations and adapting to process changes. Assist with managing and directing daily and weekly workflow by monitoring phone queue coverage, assisting with processing, and assisting with managing project deadlines and deliverables.

Responsible for all functions of an AI Associate including providing exceptional customer service to Financial Advisors, their assistants and internal business partners as it relates to Alternative Investments. Maintain knowledge of Alternative Investment products, regulatory requirements and LPL systems.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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