Job Description

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.

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?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

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

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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 flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26