Associate Service ConsultantApply Job ID: R-007010 Date posted: 07/15/2019 Primary Location CA-San Diego
An Associate Service Consultant supports the purchase of alternative investment in a call center environment with 14-16 representatives who support aggregate daily call volumes of 225-275 calls from Financial Advisors and their assistants, as well as internal business partners. Associates must understand alternative investment products, risks and differences between alternative investment product features. Associates must also understand and be able to explain the regulatory requirements and LPL policies that govern the sale of Alternative Investments. A Associate acts 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 AI Order Entry Desk.
•Provide exceptional customer service to Financial Advisors, their assistants, and LPL Financial internal business partners as it relates to Alternative Investments.
• Accurately process requests for multiple trade platforms.
• Maintain knowledge about various direct business products supported by LPL Financial. Be able to explain the differences between the products to advisors and internal business partners.
• Ensure compliance with regulatory requirements and adapt to regulatory changes. Associates must be able to explain regulatory requirements and changes in requirements to Financial Advisors and internal business partners.
• Guide Financial Advisors and their assistants through LPL Financial processes and system trading platforms as they relate to Alternative Investments. Assist with system and operational issues as well as assisting with system enhancements and upgrades.
• Support internal business partners with Alternative Investments.
• Ensure contingency plans are in place to support system outages.
• Collaborate with internal business partners to support system enhancements and testing, resolve escalations and adapt to process changes.
• Support operational partners with processing tasks and quality control (QC) processes to ensure operational tasks are completed correctly on a daily basis.
Education Requirement: Bachelor’s Degree
Licenses/Certification requirements: Series 7 and 63/66 preferred but not required
Industry Experience: 1 to 2 years of Customer Service experience, preferably in financial services
Software/Skills: Experience with working with MS Office (proficient with excel), BETA, Siebel, BranchNet/ClientWorks, Attention to detail, Strong analytical and communication skills, Ability to work independently and within a group setting, Ability to work with other departments, Ability to handle fast paced and deadline driven environment
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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.
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.