Sr. Client Service Associate

LPL Financial

113d • $22 - $38

About The Position

As a Senior Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This pivotal role focuses on enhancing client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. The ideal candidate possesses strong organizational skills, exceptional client service abilities, and a thorough understanding of financial products and services.

Requirements

• 4+ years in financial services, preferably in a client support role.
• Active Series 7 and/or 66 (or equivalent).

Nice To Haves

• Demonstrated strong performance in previous roles, with a focus on client relationship management and operational support.
• Robust understanding of financial products and services.
• Ability to execute trades and discuss investment recommendations with compliance limits.
• Excellent communication and interpersonal skills.
• Strong organizational skills and attention to detail.
• Proficient in Microsoft Office and financial CRM software.
• Strong problem-solving skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• High level of professionalism, discretion and ethical conduct.
• Bachelor’s degree in finance, business or accounting.

Responsibilities

• Serve as a primary point of contact for clients, addressing inquiries and providing timely resolutions.
• Educate clients on firm services and solutions that support their financial needs.
• Assist clients with account related requests, including move money transactions, account maintenance, online system access and navigation.
• Onboarding and maintain client accounts by collecting necessary documentation, assessing risk profiles, and ensuring compliance with regulatory standards.
• Process client transactions accurately, including trade orders at the direction of clients and/or the financial advisors.
• May prepare financial plans, client reports, and other materials for client meetings, ensuring all information is current and accurate.
• Ensure adherence to firm policies, procedures, and regulatory requirements in all client interactions and documentation.
• Monitor and take appropriate action on client account alerts and assist in preparing reporting for audits and regulatory reviews.
• Stay informed about changes in compliance regulations and implement necessary adjustments to processes.
• May partner with the financial advisors to develop and execute business plans and client services.
• May support the team’s marketing strategy by reviewing and approving marketing materials, social media platforms, and planning client events and seminars.
• Identify opportunities to enhance client engagement and contribute to business growth strategies.
• Perform administrative duties that support the financial advisors in daily business practices, including phone coverage, business travel arrangements, coordination of client meetings, expense reports, and file and calendar maintenance.
• Actively engage in available training and education programs to stay current on firm policies, procedures, and new platforms.
• Proactively participate in firm initiatives directed by management and seek opportunities to use firm resources for peer sharing and collaboration.

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees