Sr. Registration Specialist - Registrations LPL E

LPL Financial•Fort Mill, SC

1d•Onsite

About The Position

The Registrations team is seeking an individual to support the strategy and execution of LPL Enterprise LLC (LPL E), a new introducing broker dealer clearing through LPL Financial. This individual will have excellent customer service and processing skills as it pertains to servicing the various registrations needs of our Clients and Business Partners. This position will be responsible for the processing of the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD.

Requirements

High School Diploma or GED Equivalency
Exhibits a consultative, client‑focused approach
Experience with Microsoft Office suite such as Excel
Ability to handle multiple tasks in a high-volume and fast past environment
Attention to detail and prioritization of tasks
Adaptability, and able to adjust as business needs demand

Nice To Haves

1+ years of relevant experience in financial services, insurance, or a related financial organization is preferred

Responsibilities

Processing advisor requests, state registrations, exam requests and other registration requests
Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing
Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions
Assisting partner departments with questions and workflow
Ensuring regulatory compliance on owned processes
Accurate and speedy data entry
Process insurance appointments and licensing requests