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Sr. Compliance Specialist

Job ID: R-004976 Date posted: 11/06/2018 Primary Location CA-San Diego

This position will be responsible for the processing of insurance appointment paperwork and the securities registration and licensing of advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and via phone. Daily tasks include data entry in Oracle, FINRA Web CRD, and state insurance sites.

Additional duties include:

  • Process advisor requests, state registrations, exam requests, and insurance appointments.
  • Perform processing duties such as data entry, generating correspondence, processing new advisor paperwork and maintenance of advisor
  • Become proficient with understanding FINRA and state registration rules and regulations
  • Follow up with advisors and business partners for insurance appointments
  • Research items and handle escalations
  • Develop relationships with insurance carriers/sponsors

Qualifications

  • High School Diploma or GED Equivalency
  • Min 1 year experience in financial services, insurance, or a related financial organization
  • FINRA or Insurance Licenses/Certification-not required but a plus
  • Software/System: Proficient in MS Word, Excel, and Outlook
  • Must have strong written and verbal communication skills
  • Ability to handle multiple tasks in a high volume, fast paced atmosphere
  • Strong detail orientation and prioritization skills
  • Ability to work independently

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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  • Compliance, San Diego, California, United StatesRemove