What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.
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.
This role is a full-time in office position located in Troy, MI.
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?
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 or Series 66 (series 63, 65 combo) or willing to obtain within 180 days.
2+ years of experience handling financial products and services.
2+ years of experience utilizing Microsoft Office and financial CRM software.
Core Competencies:
Excellent communication and interpersonal skills.
Strong organizational skills and attention to detail.
Strong problem-solving skills.
Ability to work independently and collaboratively in a fast-paced environment.
High level of professionalism, discretion, and ethical conduct.
Preferences:
Ability to execute trades and discuss investment recommendations within compliance limits.
Bachelor’s degree in finance, business or accounting.
Minimum 3 years in financial services, preferably in a client support role.
#LPL-PA
Pay Range:
$25.10-$41.83/hourCompany Overview:
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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
Impactful Work: Our size is just right for you to make a real impact. Learn more here!
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
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.
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