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.

OurAssociate Supervision Professionals provide superior customer service as the first line of contact forSupervisiontechnology walk throughs,questions regardingindustryrules and regulationsand continuing education,requirements and processesfor registration and licensing

What to Expect:

CareerAdvancement:  Continuous feedback and coachingto 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 encouragesteam members toobtain 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 nextlevelsupport.

Responsibilities:

• Act as the primary advisor-facing contact for supervision technology and regulatory guidance,supporting 100+ advisors while deliveringa consistentlyhigh-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, ensuringon 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 regulatoryadherence, 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+ year ofrecentcustomer 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

• Licensesrequirement:FINRA SIE and Series 7 top-off or must be passed within90days of employment.

Core Competencies:

• Analytical

• Critical Thinker

• Reliable

• Team Player

Preferences:

• 1-2 year of financial services experiences focused on investmentproducts.

• 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,andSharePoint.