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Associate Service Consultant, Annuities

Job ID: R-001281 Date posted: 10/30/2017 Primary Location CA-San Diego

The Associate Service Consultant supports the purchase of annuities in a call center environment with 11 representatives who support aggregate daily call volumes of 400-500 calls from Financial Advisors and their assistants, as well as internal business partners. They must understand annuity products, risks and differences between annuity product features. Service consultants must also understand and be able to explain the regulatory requirements and LPL policies that govern the sale of annuities. They act as an initial point of contact for training and escalations, and assists the management team with goal setting, project work, managing daily work flow, establishing procedures and communicating procedural changes as they relate to the Annuity Order Entry Desk.

  • Maintain detailed knowledge of LPL processes and system platform as they relate to Annuities. They are responsible for identifying, reporting, tracking, and assisting with system and operational issues. Must be familiar with inner workings of Annuity platform and its relation to LPL backoffice applications. Must be able to identify and troubleshoot LPL and system issues as they arise and work with appropriate parties for resolution. Assume a lead role for coordinating system testing and assisting with system enhancements. Act as an active participant in project meetings related to system enhancements and changes. Actively participate in project request process.
  • Ensure compliance with regulatory requirements and adapt to regulatory changes. Be able to identify how regulatory changes will impact Annuity Processing and assist with changing procedures to adapt to changes. Actively review procedures, identify areas of risk, and ensure controls are in place to mitigate risk. Ensure business continuity plans are in place to support system outages and assist with quarterly review of department business continuity plans
  • Maintain detailed knowledge about Annuity Products supported by the Annuity Order Entry system and be able to explain the differences between the product features to advisors, clients and internal business partners and fellow peers
  • Support fellow Specialists by acting as a primary point of contact for escalated items. Collaborate with internal business partners to assist with resolving escalations and adapting to process changes. Assist with managing and directing daily and weekly workflow by monitoring phone queue coverage, assisting with processing, and assisting with managing project deadlines and deliverables. Act on behalf of department manager when manager is out of office and at manager’s discretion. Assist with establishing and supporting departmental goals. Attend management meetings and contribute to monthly staff meetings. Assist with performance management process by providing input on each Specialist's goal setting and progress towards meeting the set goals.
  • Responsible for all functions of an Annuity Service Rep including providing exceptional customer service to Financial Advisors, their assistants and internal business partners as it relates to Annuities. Maintain knowledge of annuity products, regulatory requirements and LPL systems.


  • 5-7 year's call center experience
  • Financial Services/ Annuities experience
  • Series 7 or 99 a plus!

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 1996-2017, based on total revenue.

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