Job Overview:
As a Senior Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This pivotal role focuses on enhancing client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. The ideal candidate possesses strong organizational skills, exceptional client service abilities, and a thorough understanding of financial products and services.
Responsibilities:
- Serve as the primary point of contact for clients, providing exceptional service and timely issue resolution.
- Support account maintenance, money movement requests, onboarding, and client documentation while ensuring regulatory compliance.
- Process transactions and trade requests accurately while maintaining account records and monitoring alerts.
- Partner with advisors to prepare financial plans, client meeting materials, and deliver ongoing client support.
- Maintain compliance with firm policies, regulatory requirements, audits, and risk management procedures.
- Support business growth through client engagement, marketing initiatives, event coordination, and administrative operations.
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:
- Active Series 7 and 66 (or equivalent) licenses with 7+ years of financial services experience, preferably in a client support or advisor support role.
- Strong knowledge of financial products and services, including trade execution and the ability to discuss investment recommendations within compliance guidelines.
- Proven client service professional with exceptional communication, organization, problem-solving, and relationship management skills, complemented by proficiency in Microsoft Office, financial CRM platforms, and a high degree of professionalism and attention.
Preferences:
- Bachelor's degree in finance, business or accounting.
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Pay Range:
$33.33-$55.51/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 6 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!
