LPL Financial
Associate Onboarding Partner
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial. The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment. Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL's Independent Advisor Services, Institution Services, and Hybrid RIA channels. Associate Onboarding Partners (AOP) will conduct compliance reviews for prospects who qualify under low-risk profile criteria. Responsibilities: Facilitate discussions with prospects in the event additional items are required to complete approval for affiliation. Partner closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial. Interact with advisors and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination. Provide superior customer service to prospects by handling incoming inquiries to the department mailbox regarding completion of the online registration package. Identify suspicious risk profiles and ensure all appropriate information and details are gathered to make an appropriate decision Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects and collaborate with appropriate business areas to answer prospects' questions. Provide effective onboarding consultation by managing all onboarding tasks and integration activities with individual prospects and groups affiliating with LPL, in addition to providing relevant and crucial guidance to mitigate risk and enhance the advisor experience. Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality and high level of EQ with sensitive advisor information. Work closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial. Facilitate the OBA review process by reaching out to the advisor to gather all required information to provide to our Advisor & OBA Review business partners, while exercising a high level of discretion and EQ. Provide relevant and required training instructions on systems and processes with advisors and/or their office staff. Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc. Flexibility to work evening hours and weekends if applicable based on volumes or projects. Support department projects and initiatives as necessary. What are we looking for? We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: Bachelor's Degree or minimum 3 Years of Business Equivalent Core Competencies: Microsoft Office Product Suite experience Ability to confidently present in front of small groups Self-motivated team player Excellent verbal and written communication skills Superior phone skills Must be able to organize activities and handle multiple assignments simultaneously Effective and timely follow-up required Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level Critical & Strategic Thinking Skills Preferences: Series 7, 63, or 66 Salesforce experience Pay Range: $21.44-$35.73/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. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial. The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment. Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL's Independent Advisor Services, Institution Services, and Hybrid RIA channels. Associate Onboarding Partners (AOP) will conduct compliance reviews for prospects who qualify under low-risk profile criteria. Responsibilities: Facilitate discussions with prospects in the event additional items are required to complete approval for affiliation. Partner closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial. Interact with advisors and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination. Provide superior customer service to prospects by handling incoming inquiries to the department mailbox regarding completion of the online registration package. Identify suspicious risk profiles and ensure all appropriate information and details are gathered to make an appropriate decision Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects and collaborate with appropriate business areas to answer prospects' questions. Provide effective onboarding consultation by managing all onboarding tasks and integration activities with individual prospects and groups affiliating with LPL, in addition to providing relevant and crucial guidance to mitigate risk and enhance the advisor experience. Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality and high level of EQ with sensitive advisor information. Work closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial. Facilitate the OBA review process by reaching out to the advisor to gather all required information to provide to our Advisor & OBA Review business partners, while exercising a high level of discretion and EQ. Provide relevant and required training instructions on systems and processes with advisors and/or their office staff. Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc. Flexibility to work evening hours and weekends if applicable based on volumes or projects. Support department projects and initiatives as necessary. What are we looking for? We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. Requirements: Bachelor's Degree or minimum 3 Years of Business Equivalent Core Competencies: Microsoft Office Product Suite experience Ability to confidently present in front of small groups Self-motivated team player Excellent verbal and written communication skills Superior phone skills Must be able to organize activities and handle multiple assignments simultaneously Effective and timely follow-up required Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level Critical & Strategic Thinking Skills Preferences: Series 7, 63, or 66 Salesforce experience Pay Range: $21.44-$35.73/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. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Impactful Work: Our size is just right for you to make a real impact. Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Community Focus: We care for our communities and encourage our employees to do the same. Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.