LPL Financial

Associate Supervision Professional

San Diego

Sponsorship not specified$23k-$39kDetected 20 days ago

ExcelProcess ImprovementHRCustomer SupportCommunicationCollaborationProblem SolvingMentoringMicrosoft Office

About the role

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.

Partner directly with advisors to manage registration and licensing workflows, ensuring on time
Manage high-volume, time-sensitive requests in a fast-paced environment while consistently
Collaborate with internal and external stakeholders to resolve escalations and support regulatory adherence, achieving high first-contact resolution rates.
efficiency, and support continuous improvement initiatives
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.
And they have the freedom to manage their client relationships, because they know their clients best.
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.
Please log in or create an account to apply to this position.

1+ year of recent customer service experience
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
Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 90 days of employment.
1-2 year of financial services experiences focused on investment products.
Previous working knowledge of securities licensing and insurance licensing
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and SharePoint.
FINRA SIE and Series 7 top-off or must be passed within 90 days of employment.

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.

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments.

This listing is sourced directly from LPL Financial's careers page and normalized into a canonical job model.