Associate Supervision Professional
LPL Financial•Charlotte, NC
6d•$21 - $35
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.
Requirements
- Minimum 1 year of recent customer service experience
- Excellent oral and written communication skills.
- Ability to quickly 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 required.
- Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 90 days of employment.
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.
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
Number of Employees
1,001-5,000 employees
