Associate Service Professional

The Associate Service Professional in Compliance, Registration, and Continuing Education provides superior customer service to a large base of financial advisors, serving as the first line of contact for issues related to rules, regulations, licensing, insurance appointments, and required trainings. Responsibilities Act as the primary advisor-facing contact for supervision technology and regulatory guidance, supporting 100+ advisors while delivering a consistently high-quality client experience. Provide clear, accurate guidance on FINRA regulations, firm supervision policies, licensing, and CE requirements, contributing to increased advisor satisfaction scores. Partner directly with advisors to manage registration and licensing workflows, ensuring on‑time submissions and reducing overall rework and follow‑ups. Manage high‑volume, time‑sensitive requests in a fast‑paced environment while consistently meeting or exceeding SLAs and compliance deadlines. Collaborate with internal and external stakeholders to resolve escalations and support regulatory adherence, achieving high first‑contact resolution rates. Identify process improvement opportunities that enhance advisor experience, operational efficiency, and support continuous improvement initiatives. Qualifications 1‑2 years of previous customer service experience. Knowledge of mutual funds, annuities, general securities, and other financial products required. Knowledge of FINRA, SEC, and State rules and regulations required. Licenses requirement: FINRA SIE and Series 7 top‑off or must be passed within 120 days of employment. Ability to learn and maintain knowledge in a very dynamic environment. Ability to multi‑task, attention to detail, problem‑solving and follow‑up skills. Analytical skills. Reliable team player. Preferred Qualifications 1‑2 year of financial services experience focused on investment products. Previous working knowledge of securities licensing and insurance licensing. Proactive collaboration and service‑based responses with business partners on escalated issues. Experience with all Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio. Pay Range Pay Range: $23.22–$38.67 per hour. Actual base salary varies based on factors such as relevant skill, prior experience, education, internal peer salary, performance, and geographic location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and other benefits. Benefits LPL’s Total Rewards package is highly competitive and designed to support your success at work, at home, and at play. EOE. #J-18808-Ljbffr