Associate Supervision Professional
About The Position
Our Associate Supervision Professionals provide superior customer service as the first line of contact for Supervision technology walk throughs, questions regarding industry rules and regulations and continuing education, requirements and processes for registration and licensing. Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Requirements
- 1+ year of recent customer service experience
- Oral and written communication skills.
- Ability to learn and maintain knowledge in a very dynamic environment
- 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.
- Analytical
- Critical Thinker
- 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, and SharePoint.
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
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
