Associate Supervision Professional

Responsibilities

• Career Advancement: Continuous feedback and coaching to take your career to the next level in the direction you want to .
• Support & Development: Our Supervision Support team focuses heavily on development and highly encourages team members to obtain additional licensing such as the 66, 24, or 9/10 .
• Team Environment: Our Supervision support team has a strong team dynamic with easy access to next level support.
• 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+ year of recent customer service experience
• Oral and written communication skills.
• Ability to learn and maintain knowledge in a very dynamic environment
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills.
• Knowledge of mutual funds, annuities, general securities, and other financial products required.
• Knowledge of FINRA, SEC, and State rules and regulations
• Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 90 days of employment.
• Core Competencies:
• Analytica l
• Critical Thinker
• Reliable
• Team Player
• Preferences:
• 1-2 year of financial services experiences focused on investment products.
• Previous working knowledge of securities lic ensing 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, and SharePoint.
• Pay Range:
• $21.10-$35.16/hour
• Company Overview:
• At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the

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 Supervision Professionals provide superior customer service as the first line of contact for Supervision technology walk throughs, q uestions regarding industry rules and regulations and continuing education , requirements and processes for registration and licensing .

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