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Sr. Registration Specialist - Registrations LPL E

LPL Financial

LPL Financial

Multiple locations
Posted on Tuesday, June 11, 2024

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Registrations team is seeking an individual to support the strategy and execution of LPL Enterprise LLC (LPL E), a new introducing broker dealer clearing through LPL Financial. This individual will have excellent customer service and processing skills as it pertains to servicing the various registrations needs of our Clients and Business Partners. This position will be responsible for the processing of the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD.

Responsibilities:

  • Processing advisor requests, state registrations, exam requests and other registration requests

  • Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing.

  • Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions.

  • Assisting partner departments with questions and workflow

  • Ensuring regulatory compliance on owned processes

  • Accurate and speedy data entry

  • Process insurance appointments and licensing requests.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • At least 1-year of relevant experience in financial services, insurance, or a related financial organization

  • High School Diploma or GED Equivalency

  • Client-Centric with excellent Customer Service

  • Ability to handle multiple tasks in a high-volume and fast past environment.

  • Strong attention to detail and prioritization of tasks

  • Adaptability, and able to adjust as business needs demand.

Preferences:

  • Proficiency with Microsoft Office suite such as Excel


Pay Range:

$22.21-$33.32/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!


Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? 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.