Associate Service Professional

Responsibilities

• Act as the primary advisor-facing contact for supervision technology and regulatory guidance, supporting 100+ advisors while delivering a consistently high-quality client experience
• Provide clear, accurate guidance on FINRA regulations, firm supervision policies, licensing, and CE requirements, contributing to increased advisor satisfaction scores
• Partner directly with advisors to manage registration and licensing workflows, ensuring on time submissions and reducing overall rework and follow-ups
• Manage high-volume, time-sensitive requests in a fast-paced environment while consistently meeting or exceeding SLAs and compliance deadlines
• Collaborate with internal and external stakeholders to resolve escalations and support regulatory adherence, achieving high first-contact resolution rates.
• Identify process improvement opportunities that enhance advisor experience, operational efficiency, and support continuous improvement initiatives
• What are we looking for?

Requirements

• 1-2 years of previous customer service experience
• Knowledge of mutual funds, annuities, general securities, and other financial products required.
• Knowledge of FINRA, SEC, and State rules and regulations required.
• Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 120 days of employment.
• Core Competencies
• Ability to learn and maintain knowledge in a very dynamic environment
• Ability to multi-task, attention to detail, problem-solving and follow-up skills.
• Analytical
• Reliable
• Team Player
• Preferences
• 1-2 year of financial services experiences focused on investment products.
• Previous working knowledge of securities licensing and insurance licensing
• Proactive collaboration and service-based responses with business partners on escalated issues.
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.
• Pay Range:
• $23.22-$38.67/hour
• Company Overview:

Benefits

Additional Information

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Our Associate Service Professional in Compliance, Registration, and Continuing Education will provide superior customer service to a large base of financial advisors as the first line of contact for various issues including rules, regulations, licensing, insurance appointments, and required trainings. We offer a collaborative Supervision Support team environment focused on your growth, with ongoing feedback and coaching to help you advance your career in the direction you choose. The team places a strong emphasis on development and actively encourages obtaining additional licenses such as the Series 66, 24, or 9/10, while providing easy access to experienced, next-level support.

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