Associate Supervision Professional

LPL Financial•Charlotte, NC

1d•Onsite

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. At LPL Financial, you can build a career that matches your ambition with innovation. We offer cutting-edge resources, a collaborative environment, and the freedom to make an impact, providing the ingredients you need 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.
Analytica l
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