Overview
On Site
USD 29.03 - 48.38 per hour
Full Time
Skills
Innovation
Adaptability
Regulatory Compliance
SEC
Facilitation
Dynamics
Policies and Procedures
Research
Quality Control
SLA
Legal
Reporting
Auditing
Licensing
Real-time
Process Improvement
Coaching
Continuous Improvement
Customer Service
Financial Services
PASS
Customer Focus
Communication
Work Ethic
Organized
Supervision
Microsoft Office
Call Center
Oracle
Wealth Management
Practice Management
Business Model
Management
Customer Relationship Management (CRM)
Brokerage
Leadership
FOCUS
Insurance
Finance
Credit Cards
Human Resources
Job Details
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:
Joining our team as a Service Resolution Professional Compliance, Registration, and Continuing Education team will allow you to support financial advisors by offering an extraordinary quality service experience. Our service team's main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position.
The Service Resolution Professional position will assist the Service Professionals on the Compliance, Registration, and Continuing Education team, whose focus is to assist financial advisors and their staff in ensuring compliance with applicable industry rules (State, SEC and FINRA regulations), company policies, and insurance licensing and appointments. You will be responsible for assisting the Service Professionals in a manner consistent with LPL Financials values. No matter what the situation, the team's duty remains the same: Providing our clients with timely, correct, and relevant information, when and where they need it so that in turn, they can help their clients achieve their own financial dreams.
If you have an entrepreneurial spirt and a passion for coaching, facilitation, and addressing challenging interpersonal dynamics, this would be a rewarding career for you.
Responsibilities:
Act as a subject matter expert on operational policies and procedures by assisting front line associates with complex policies and procedures questions as well as registration issues. Consult with front line associates on how to effectively respond to customer issues.
Exercise discretion and business judgment; research and resolve advisor issues
Provide strong, compassionate, and visible leadership which foster positive attitudes and trust among employees and our advisors
QC operational tasks to ensure they are completed correctly.
Partner with internal contacts to resolve difficult and/or out of SLA issues. Work with legal to report audits and complaints and registrations ops to address any issues with licensing and appointments that reps are encountering.
Resolve escalated issues, taking ownership and ensuring the situation is completely resolved.
Monitor phone queues and real time adherence to ensure associates are adhering to their assigned schedules.
Work closely with internal departments to improve processes and ensure timely processing
The Talents You Deliver:
BE BALANCED- Juggle multiple tasks, while maintaining focus
BE PROACTIVE- Take a solution oriented approach to escalated items
BE CURIOUS- identify and take action on process improvements
BE COURAGEOUS- identify potential areas of opportunity for staff and provide ongoing coaching,
BE ENTREPRENEURIAL- understand your role as a business owner and strive to elevate the status quo
BE A MOTIVATOR- Conduct meetings to recognize and share new information with your staff
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.
3-5 years of financial services experience required, investment services preferred.
Series SIE 7, Series 66 (or S63 and S65)
Required or must pass within 120 days of employment 9 and 10 or Series 24: then Series 4, 52 & 53 (for candidates with S24)
Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized.
Prior Supervisory or Management experiences are preferred.
Proficient in Microsoft Office and web based applications. Adept with PC look up and data input.
Ability to assist internal customers with complex issues in a call center environment.
Manage multiple applications simultaneously while accessing data via multiple PC lookup.
Must have excellent PC and data input skills.
ORACLE and Beta experience a plus.
Articulates complex regulatory and operational information quickly and efficiently.
Pay Range:
$29.03-$48.38/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!
Company 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
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?
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 .
EAC1.22.25
Job Overview:
Joining our team as a Service Resolution Professional Compliance, Registration, and Continuing Education team will allow you to support financial advisors by offering an extraordinary quality service experience. Our service team's main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position.
The Service Resolution Professional position will assist the Service Professionals on the Compliance, Registration, and Continuing Education team, whose focus is to assist financial advisors and their staff in ensuring compliance with applicable industry rules (State, SEC and FINRA regulations), company policies, and insurance licensing and appointments. You will be responsible for assisting the Service Professionals in a manner consistent with LPL Financials values. No matter what the situation, the team's duty remains the same: Providing our clients with timely, correct, and relevant information, when and where they need it so that in turn, they can help their clients achieve their own financial dreams.
If you have an entrepreneurial spirt and a passion for coaching, facilitation, and addressing challenging interpersonal dynamics, this would be a rewarding career for you.
Responsibilities:
Act as a subject matter expert on operational policies and procedures by assisting front line associates with complex policies and procedures questions as well as registration issues. Consult with front line associates on how to effectively respond to customer issues.
Exercise discretion and business judgment; research and resolve advisor issues
Provide strong, compassionate, and visible leadership which foster positive attitudes and trust among employees and our advisors
QC operational tasks to ensure they are completed correctly.
Partner with internal contacts to resolve difficult and/or out of SLA issues. Work with legal to report audits and complaints and registrations ops to address any issues with licensing and appointments that reps are encountering.
Resolve escalated issues, taking ownership and ensuring the situation is completely resolved.
Monitor phone queues and real time adherence to ensure associates are adhering to their assigned schedules.
Work closely with internal departments to improve processes and ensure timely processing
The Talents You Deliver:
BE BALANCED- Juggle multiple tasks, while maintaining focus
BE PROACTIVE- Take a solution oriented approach to escalated items
BE CURIOUS- identify and take action on process improvements
BE COURAGEOUS- identify potential areas of opportunity for staff and provide ongoing coaching,
BE ENTREPRENEURIAL- understand your role as a business owner and strive to elevate the status quo
BE A MOTIVATOR- Conduct meetings to recognize and share new information with your staff
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.
3-5 years of financial services experience required, investment services preferred.
Series SIE 7, Series 66 (or S63 and S65)
Required or must pass within 120 days of employment 9 and 10 or Series 24: then Series 4, 52 & 53 (for candidates with S24)
Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized.
Prior Supervisory or Management experiences are preferred.
Proficient in Microsoft Office and web based applications. Adept with PC look up and data input.
Ability to assist internal customers with complex issues in a call center environment.
Manage multiple applications simultaneously while accessing data via multiple PC lookup.
Must have excellent PC and data input skills.
ORACLE and Beta experience a plus.
Articulates complex regulatory and operational information quickly and efficiently.
Pay Range:
$29.03-$48.38/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!
Company 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
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 .
EAC1.22.25
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.