Sr. Client Service Associate

LPL Financial•Rockville, MD

1d•$33 - $56

About The Position

As a Senior Registered Client Service Associate, you will provide comprehensive administrative and operational support within a financial advisor’s practice. The role focuses on enhancing client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. The ideal candidate has strong organizational skills, exceptional client service abilities, and a thorough understanding of financial products and services. The position includes serving as the primary client contact, supporting account and transaction operations, partnering with advisors on financial plans and client meetings, maintaining compliance, and contributing to business growth through client engagement and administrative support.

Requirements

Active Series 7 and Series 66 licenses, or equivalent licenses.
At least 7 years of financial services experience, preferably in a client support or advisor support role.
Strong knowledge of financial products and services, including trade execution and the ability to discuss investment recommendations within compliance guidelines.
Exceptional communication, organization, problem-solving, and relationship management skills.
Proficiency in Microsoft Office and financial CRM platforms.
A high degree of professionalism and attention to detail.

Nice To Haves

Bachelor's degree in finance, business, or accounting.

Responsibilities

Serve as the primary point of contact for clients, providing exceptional service and timely issue resolution.
Support account maintenance, money movement requests, onboarding, and client documentation while ensuring regulatory compliance.
Process transactions and trade requests accurately, maintain account records, and monitor alerts.
Partner with advisors to prepare financial plans and client meeting materials, and provide ongoing client support.
Maintain compliance with firm policies, regulatory requirements, audits, and risk management procedures.
Support business growth through client engagement, marketing initiatives, event coordination, and administrative operations.