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Associate Onboarding Consultant

Job ID: R-023058 Date posted: 05/02/2022 Primary Location SC-Fort Mill

Position Summary:

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. The Associate Onboarding Consultant (AOC) will develop and maintain 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. The AOC will be responsible for successfully coordinating all onboarding and integration activities with individual prospects and large groups including individuals converting between LPL platforms.

Essential Functions:

  • Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects.
  • Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality of advisor information. 
  • Proactively work with prospects to obtain necessary information and provide detailed explanations of documentation and requirements in order to obtain formal compliance approval.  Partner with compliance to assist advisor through the approval process.
  • 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. 

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.
  • Ability to work evening hours and weekends as client situations dictate
  • Ability to travel locally to recruiting offices, in order to establish good working relationships and improve onboarding efficiencies (Expectation is less than 10% travel)
  • Ability to partner closely and establish productive working relationships with other business units
  • Support department projects and initiatives as necessary
  • Support other functions of the team as necessary such as reporting, data migration, service, etc.
  • Project management skills a plus

Education Requirements:
Bachelor’s Degree or minimum 3 Years Business Equivalent


  • Series 7,63, or 66, preferred

Software/System Skills Preferred:

  • Microsoft Office Product Suite
  • Salesforce
  • BranchNet-Internal posting ONLY
  • Oracle-Internal posting ONLY
  • ASAT -Internal posting ONLY

Soft Skills:

  • 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

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 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.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove