Sr. Registration Specialist - Registrations LPLE
Job Overview
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 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
- Affording assistance to partner departments with questions and workflow
- Ensuring regulatory compliance on owned processes
- Accurate and speedy data entry
- Processing insurance appointments and licensing requests
Requirements
- 1+ years of relevant experience in financial services, insurance, or a related financial organization
Core Competencies
- Ability to handle multiple tasks in a high-volume and fast past environment
- Strong attention to detail and prioritization of tasks
- Adaptability, and able to adjust as business needs demand
Preferences
- Client-Centric with excellent Customer Service experience
- Proficiency with Microsoft Office suite such as Excel and Outlook
- Data entry, mailbox management and documentation experience
- Dynamics (case management), Oracle (registration), and FINRA CRD experience
- Experience working with advisors and other internal departments
Pay Range
$22.43-$37.39/hour
Company Overview
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(6), 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.