Registered Client Service Associate - Raleigh, NC

Responsibilities

• Acts as the primary point of contact for clients, addressing inquires and providing timely resolution.
• Educates clients on account services and capabilities, including online access.
• Assist in onboarding new clients by collecting documentation and facilitating account setup.
• Prepare and process account opening, maintenance, and transfer documentation, ensuring accuracy and
• compliance.
• Monitor and manage client account activities, this may include contributions, distributions, trading and
• performance reporting.
• Maintain organized and up-to-date client records in the firm's CRM system.
• Ensure adherence to industry regulations and firm policies in all client interactions and documentation.
• Assist in preparing reports for audits and regulatory reviews.
• Stay informed about changes in compliance requirements and implement necessary adjustments to
• processes.
• Coordinate with custodians and service providers to facilitate client requests and resolve issues.
• Assist financial advisors with administrative tasks, including scheduling meetings and preparing client
• presentations.
• Participate in team projects aimed at improving operational efficiency and client service delivery.
• May aid in planning and execution of client events, seminars and marketing initiatives.
• Prepare and distribute client communications, newsletters and marketing updates.
• Identify opportunities to enhance client engagement and contribute to business growth strategies.
• What are we looking for?

Requirements

• Active Series 7 or Series 66 (or Series 63/65 combination) required.
• Strong knowledge of financial products and services, with the ability to execute trades and discuss investment recommendations within compliance guidelines.
• Excellent communication, interpersonal, and problem-solving skills, with a high level of professionalism, discretion, and ethical conduct.
• Highly organized and detail-oriented, with proficiency in Microsoft Office and financial CRM systems; able to work both independently and collaboratively in a fast-paced environment.
• Preferences:
• Bachelor's degree in finance, business or accounting.
• Minimum 3 years in financial services, preferably in a client support role.
• #LI-Onsite
• Pay Range:
• $25.85-$43.08/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

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. Job Overview: As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor's practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards. The ideal candidate is dedicated and detailed- oriented. Possess strong organizational skills, exceptional communication abilities, and a commitment to delivering outstanding client service.

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