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Service Center Manager Compliance, Registration, and Continuing Education

Job ID: R-005357 Date posted: 12/06/2018 Primary Location CA-San Diego

Discover your opportunity with LPL Financial, a leader in the retail financial advice market and the nation’s largest independent broker/dealer with over 15,000 financial advisors and over 4000 corporate employees where we respect and appreciate the diversity of our employees, our clients, and the communities we serve.

Joining our team as a Service Center ManagerCompliance, Registration, and Continuing Education team will allow you to support financial advisors by offering an extraordinary quality service experience. Our service team’s main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position.

What you will do

The Manager position will oversee the Compliance, Registration, and Continuing Education team, whose focus is to assist financial advisors and their staff in ensuring compliance with applicable industry rules (State, SEC and FINRA regulations), company policies, and insurance licensing and appointments. You will be responsible for motivating your team members in a manner consistent with LPL Financials values. No matter what the situation, your team’s duty remains the same: Providing our clients with timely, correct, and relevant information, when and where they need it so that in turn, they can help their clients achieve their own financial dreams.

If you have an entrepreneurial spirt and a passion for coaching, facilitation, and addressing challenging interpersonal dynamics, this would be a rewarding career for you.

The Expertise Were Looking For

  • 1-2 years of previous customer service experience.
  • 5-7 years of financial services experience required, investment services preferred.
  • Series 7 required and Series 24 required or can complete within 90 days of employment
  • Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized.
  • Prior Supervisory or Management experiences are preferred.
  • Proficient in Microsoft Office and web based applications.  Adept with PC look up and data input. 
  • Ability to assist internal customers with complex issues in a call center environment. 
  • Manage multiple applications simultaneously while accessing data via multiple PC lookup. 
  • Must have excellent PC and data input skills. 
  • ORACLE and Beta experience a plus.
  • Articulates complex regulatory and operational information quickly and efficiently.

The Skills You Need

  • Act as a subject matter expert on operational policies and procedures by assisting front line associates with complex policies and procedures questions as well as registration issues.  Consult with front line associates on how to effectively respond to customer issues.
  • Exercise discretion and business judgment; research and resolve advisor issues
  • Provide strong, compassionate, and visible leadership which foster positive attitudes and trust among employees and our advisors
  • Assist on projects and serve on project teams when asked.
  • QC operational tasks to ensure they are completed correctly.
  • Partner with internal contacts to resolve difficult and/or out of SLA issues.  Work with legal to report audits and complaints and registrations ops to address any issues with licensing and appointments that reps are encountering.
  • Resolve escalated issues, taking ownership and ensuring the situation is completely resolved.
  • Coordinate Compliance/Registration new hire training and assist in supporting Learning and Development
  • Monitor phone queues and real time adherence to ensure associates are adhering to their assigned schedules.
  • Facilitate distribution of operational policy updates, system outages, and other pressing information to front line associates.  Includes facilitating team huddles and conducting training presentations.
  • Work closely with internal departments to improve processes and ensure timely processing
  • Conduct job interviews
  • Monitor, coach, set performance goals, and motivate staff.
  • Administrative management duties: time card approvals, interviews, review time off requests, track attendance etc.

The Talents You Deliver

  • BE BALANCED- Juggle multiple tasks, while maintaining focus
  • BE PROACTIVE- Take a solution oriented approach to escalated items
  • BE CURIOUS- identify and take action on process improvements
  • BE COURAGEOUS- identify potential areas of opportunity for staff and provide ongoing coaching,
  • BE ENTREPRENEURIAL- understand your role as a business owner and strive to elevate the status quo
  • BE A MOTIVATOR- Conduct meetings to recognize and share new information with your staff

The Empowerment of Your Role

LPL is transforming our culture and our commitment to the ease of doing business. Making it easier for advisors to do business with us is our No. 1 priority. No matter what your role or department, at LPL we all own this. Knowing this we are all empowered to make things simpler and do what is best for advisors and their investors.

The Quality You Deliver

At LPL financial, our work makes a difference. That is why we share a passion for doing it ethically and exceedingly well. Because we have a clear focus and we are empowered to deliver results, we see every day that we are creating something special together.

You’re Life

LPL Financial has a “we” philosophy rather than a “me” philosophy. Our benefit packages are built to support our colleagues and their families by providing programs that foster health, peace of mind, work/life balance, as well as support for your financial and social goals and commitments. Sound too good to be true? See for yourself and learn more about our benefit offerings.

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