Serve as the primary point of contact for clients, responding to inquiries, resolving issues, and educating clients on account services and online capabilities
Support onboarding of new clients by collecting required documentation and facilitating accurate, compliant account setup
Prepare and process account opening, maintenance, and transfer documentation, ensuring adherence to firm policies and regulatory requirements
Monitor and manage client account activity, including contributions, distributions, trading support, and performance reporting
Maintain accurate, organized, and up‑to‑date client records within the firm's CRM and document management systems
Coordinate with custodians, service providers, and internal teams to fulfill client requests and resolve operational issues
Assist financial advisors with administrative and operational support, reporting, client communications, and initiatives to enhance client engagement and operational efficiency
What are we looking for?
Requirements
Active Series 7 or Series 66 (Series 63/65 combination acceptable)
3+ years of experience in a client-facing role supporting wealth management advisors , with the ability to remain composed under pressure, work effectively with diverse personalities, and thrive in fast‑paced, high‑volume environments while maintaining strong attention to detail
In-office role , Monday-Friday
Core Competencies:
Robust understanding of financial products and services.
Ability to execute trades and discuss investment recommendations within compliance limits.
Excellent communication and interpersonal skills.
Strong organizational skills and attention to detail.
Proficient in Microsoft Office and financial CRM software.
Strong problem-solving skills.
Ability to work independently and collaboratively in a fast-paced environment.
High level of professionalism, discretion, an ethical conduct.
Preferences:
Bachelor's degree in finance, business or accounting.
Minimum 3 years in financial services, preferably in a client support role.
#LI-Onsite
#LPL-H1
Pay Range:
$28.47-$47.44/hour
Company Overview:
Benefits
Health insurance401(k)Equity / stock options
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.
Lplfinancial · Newport Beach CA - Field Mgmt