Registered Client Service Associate - Raleigh, NC

Job Overview

As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards.

Responsibilities

• Acts as the primary point of contact for clients, addressing inquires and providing timely resolution.
• Educates clients on account services and capabilities, including online access.
• Aid in onboarding new clients by collecting documentation and facilitating account setup.
• Prepare and process account opening, maintenance, and transfer documentation, ensuring accuracy and compliance.
• Maintain organized and up-to-date client records in the firm’s CRM system.
• Ensure adherence to industry regulations and firm policies in all client interactions and documentation.
• Aid in preparing reports for audits and regulatory reviews.
• Stay informed about changes in compliance requirements and implement necessary adjustments to processes.
• Cook up with custodians and service providers to facilitate client requests and resolve issues.
• Aid in preparing and distributing client communications, newsletters, and marketing updates.
• Identify opportunities to enhance client engagement and contribute to business growth strategies.

Requirements

• Active Series 7 or Series 66 (or Series 63/65 combination) required.
• Strong knowledge of financial products and services, with the ability to execute trades and discuss investment recommendations within compliance guidelines.
• Excellent communication, interpersonal, and problem-solving skills, with a high level of professionalism, discretion, and ethical conduct.
• Highly organized and detail-oriented, with proficiency in Microsoft Office and financial CRM systems; able to work both independently and collaboratively in a fast-paced environment.

Pay Range

Pay Range: $25.85-$43.08/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

About LPL Financial

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

Equal Opportunity Employer

LPL is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, or protected veteran status.