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Associate Service Consultant, Compliance, Registrations, and CE

Job ID: R-000110 Date posted: 05/30/2017 Primary Location SC-Fort Mill

Job Requirements:

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.

Essential Functions:

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 60 - 80 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

Qualifications:

•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

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 1996-2016, based on total revenue.

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