Sr. Registration Specialist - Registrations
LPL Financial · Fort Mill, SC · 1 wk ago
Administrative$22.43–$37.39/hrFull-time
About the role
The Registrations team at LPL Financial 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 position will be responsible for the processing of the securities registration/licensing of Advisors.
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
Qualifications
- 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
Pay
Pay Range: $22.43-$37.39/hour
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
Schedule
Not specified
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off