Job ID R-027057Date posted 11/21/2022Primary Location CA-Oakland
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients
The primary role of the Registered Client Service Associate (CSA) is to provide administrative support to an advisor or team of advisors, including any and all daily, monthly, and annual tasks. The Registered CSA helps the advisor maintain his or her practice and deliver positive results for the advisor’s clients. The ideal candidate will have a strong attention to detail, excellent customer services skills (both verbal and written), and a proven ability to adapt to a changing work environment.
***Candidate must reside in or near Oakland, CA***
Inbound client calls, schedule appointments, and prepare materials for client meetings
Keep client management systems up-to-date with client information
Assist with various documentation requirements for new business
Manage account activities that are operational in nature –new accounts, cash management, transfers, and account maintenance (e.g., periodic distributions, debits)
Conduct proactive outreach to clients and advisors on time sensitive activities (e.g., RMDs)
Assume ownership of inquiries and requests; communicate with internal departments to ensure clients’ expectations for timely service delivery are met
Educate clients on account services, capabilities, and new technology – eSignature, paperless statements, Account View (client portal), etc.
Partners with Financial Advisor to strategize on opportunities to meet the needs of clients
May assist in executing trades for clients as needed to support the Financial Advisor
Strong customer focus, excellent verbal and written communication skills; able to explain complex information clearly and simply
Proven ability to independently and efficiently manage multiple projects concurrently in a fast-paced environment
Organized with a strong attention to detail and problem-solving abilities
Outstanding interpersonal skills with the ability to build and foster relationships with clients, coworkers, and internal/external partners
Strong analytical skills and ability to research information
Demonstrates drive, initiative, and motivation
Proficiency in Microsoft Word, Excel, and PowerPoint; CRM applications
Able to utilize internal resources, training & self-service options available such as iKnow, Resource Center, LPLU, etc.
Prior Customer Service experience in financial services required
Satisfactory completion of LPL Office Essentials or equivalent within 90 days of role
Series 66 and/or Series 7 license
Bachelor’s degree; preferably in Business, Accounting or Finance
Experience working with Financial Advisors, Branch and Home Office support teams
2-7 years brokerage/financial services industry knowledge
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.