Associate Onboarding ConsultantApply Job ID: R-015839 Date posted: 07/20/2021 Primary Location SC-Fort Mill
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.
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.
Other Job Duties and Requirements:
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.
Ability to confidently present in front of small groups.
Bachelor’s Degree or minimum 3 Years Business Equivalent
Series 7,63, or 66, preferred
Software/System Skills Preferred:
Microsoft Office Product Suite
BranchNet-Internal posting ONLY
Oracle-Internal posting ONLY
ASAT -Internal posting ONLY
Self-motivated team player
Excellent verbal and written communication skills
Superior phone skills
Must be able to organize activities and handle multiple assignments simultaneously
Effective and timely follow-up required
Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level
Critical & Strategic Thinking Skills
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.
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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 (800) 877-7210.