Associate Service Consultant, Compliance, Registrations, and CEApply Job ID: R-008720 Date posted: 02/10/2020 Primary Location SC-Fort Mill
Our Associate Service Consultant in Compliance, Continuing Education & Registration will provide superior customer service to a large base of financial advisors as the first line of contact for various Compliance, Continuing Education & Registration issues.
You will help advisors ensure compliance with applicable industry rules (State, FINRA and SEC regulations) and Company policies through effective communication and handling of incoming phone calls. Helping Advisors become registered with states and appointed with insurance carriers as well as helping with continuing education inquiries. You must possess strong problem solving skills, great customer service and be willing to take ownership of issues through resolution and have the ability to coordinate effectively with internal departments to improve processes.
1. Provide superior customer service to a defined group of financial advisors by handling inquiries via phone and email, with a focus on overall service.
2. Research complex situations, set customer expectations, and define the actions necessary to resolve the situation.
3. Communicate operational and financial industry policies and procedures
4. Answer 40 - 60 incoming calls per day from Advisors, Clients, and other members of the firm
Other Job Duties:
1. Assume ownership of the inquiry and see it through to a timely resolution
2. Communicate with internal departments to improve processes and timely processing
•Bachelor's degree in related field
•1-2 years of previous customer service experience
•1-2 years of financial services experience required, investment services experience preferred
•Series 7 strongly preferred, but not required
•Strong MS Office skills, Beta experience preferred
•Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
About LPL Financial:
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.
*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.
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 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 @lpl.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.