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Onboarding Consultant

Job ID: R-007700 Date posted: 09/18/2019 Primary Location CA-San Diego

Position Summary:

The ideal candidate will have a solid understanding of the financial services industry, brokerage operations, along with proven success with operating in a dynamic fast-paced environment.  Outstanding customer service and effective communication skills are essential. The Onboarding Consultant (OC) will develop and maintain essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL’s Independent Advisor Services, Institution Services, and Hybrid RIA channels. The OC will be responsible for Managing and consulting on all onboarding and integration aspects with individual prospects and large groups including individuals converting between LPL platforms. Onboarding Consultant will conduct compliance reviews for prospects who qualify under low-risk profile criteria.

Essential Functions:

  • Strategic Planning and Execution - Create a customized onboarding plan outlining the applicable tasks, ownership, and expected dates of completion. Manage accountability of task assignments and targeted completion dates. Utilize internal resources to ensure onboarding milestones are completed and discussed to meet advisor’s expectations. Create conversion and repapering plans to migrate accounts and assets for advisors. 
  • Business Analysis - Conduct an in-depth advisor profile and analysis of the current and projected business model.  Identify action items and LPL resources and make recommendations to the advisor.  Use discretion in coordinating communication with other business units to identify investment opportunities for the advisor.
  • Regulatory Compliance - Review advisor office setup and structure and review best practices. Coordinate time with outside counsel to ensure the advisor understands any contractual requirements and potential regulation S-P issues. Provide clear direction on complying with legal recommendations. For converting advisors, provide education on the key factors involved with converting to the Hybrid RIA platform including but not limited to repapering requirements, business structure, best practice advice for state specific guideline, LPL specific RIA standards and current RIA industry changes.
  • Marketing Analysis and Planning - Partner with Marketing Regulatory Review to evaluate client-facing correspondence, make recommendations for a marketing plan  and ensure all marketing materials have been submitted for review and approval.
  • Business Partnership - Facilitate communication and coordination between departments to ensure smooth advisor integration.  Proactively engage in the recruiting process by working closely with Business Development to ensure clear communication of commitments and set expectations. Represent the department in Home Office Visits in an effort to win new business.
  • Conduct Low Risk Compliance Reviews and facilitate discussions with prospects in the event additional items are required to complete Approval for affiliation.
  • Facilitate the OBA Review Process by reaching out to the advisor to gather all required information to prepare & send over to our Advisor & OBA Review business partners.

Other Job Duties and Requirements:

  • If applicable, manage onboarding team members (consultants) and effectively communicate expectations to team members and stakeholders in a timely and clear fashion. Proactively manage changes in scope, identify potential risks and devise contingency plans. 
  • Work closely with internal departments involved in the onboarding process to ensure seamless handoffs are made for advisors and to ensure proper resource allocation to support customer onboarding.
  • Support department projects and initiatives as necessary.
  • Support other functions of the team as necessary such as reporting, data migration, service, etc.
  • Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc.
  • Ability to partner closely and establish productive working relationships with other business units.
  • Flexibility to travel for required onsite support.
  • Ability to work evening hours and weekends as client situations dictate.
  • Project management skills a plus.
  • Ability to confidently present in front of small groups.
  • Internal Home Office Visit accreditation required (within 120 days of joining). 

Education Requirements:

  • Bachelor’s Degree or minimum 5 Years Business Equivalent


  • Series 7, 63 or 66, preferred

Software/System Skills Preferred:

  • Microsoft Office Product Suite
  • Salesforce 
  • Clientworks
  • Oracle

Soft Skills:

  • Self-motivated team player
  • Excellent verbal and written communication skills
  • Superior phone skills
  • Must be able to organize activities and handle multiple assignments simultaneously
  • Effective and timely follow-up required
  • Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level
  • Critical & Strategic Thinking Skills

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.

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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Area(s) of InterestChoose at least one job category and/or location.

  • Service and Operations, San Diego, California, United StatesRemove