Associate Service Consultant, Compliance, Registrations, and CE

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 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

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

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.

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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 @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.