Associate Service Professional

LPL Financial•San Diego, CA

1d•Onsite

About The Position

Our Associate Service Professional in Compliance, Registration, and Continuing Education will provide superior customer service to a large base of financial advisors as the first line of contact for various issues including rules, regulations, licensing, insurance appointments, and required trainings. We offer a collaborative Supervision Support team environment focused on your growth, with ongoing feedback and coaching to help you advance your career in the direction you choose. The team places a strong emphasis on development and actively encourages obtaining additional licenses such as the Series 66, 24, or 9/10, while providing easy access to experienced, next-level support.

Requirements

1-2 years of previous customer service experience
Knowledge of mutual funds, annuities, general securities, and other financial products required.
Knowledge of FINRA, SEC, and State rules and regulations required.
Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 120 days of employment.
Ability to learn and maintain knowledge in a very dynamic environment
Ability to multi-task, attention to detail, problem-solving and follow-up skills.
Analytical
Reliable
Team Player

Nice To Haves

1-2 year of financial services experiences focused on investment products.
Previous working knowledge of securities licensing and insurance licensing
Proactive collaboration and service-based responses with business partners on escalated issues.
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.

Responsibilities

Act as the primary advisor-facing contact for supervision technology and regulatory guidance, supporting 100+ advisors while delivering a consistently high-quality client experience
Provide clear, accurate guidance on FINRA regulations, firm supervision policies, licensing, and CE requirements, contributing to increased advisor satisfaction scores
Partner directly with advisors to manage registration and licensing workflows, ensuring on time submissions and reducing overall rework and follow-ups
Manage high-volume, time-sensitive requests in a fast-paced environment while consistently meeting or exceeding SLAs and compliance deadlines
Collaborate with internal and external stakeholders to resolve escalations and support regulatory adherence, achieving high first-contact resolution rates.
Identify process improvement opportunities that enhance advisor experience, operational efficiency, and support continuous improvement initiatives