Associate Onboarding Partner

LPL Financial; Fort Mill (SC); On-site; USD 29,000 - 50,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is hiring for an Associate Onboarding Partner role in the United States. You will act as the primary contact for transitioning prospects, coordinate license transfers and FINRA processes, and partner with multiple departments to ensure timely onboarding and compliance.

Strong communication and analytical skills are essential. The role requires collaboration with advisors, compliance teams, and OBA reviewers, with flexibility for evening hours and weekends based on volume.

Qualifications

• Bachelor’s Degree or minimum 3 Years of Business Equivalent.

Responsibilities

• Facilitate discussions with prospects to complete affiliation approval and coordinate license transfer steps.
• Interact with advisors and internal departments to evaluate compliance determinations.
• Provide superior customer service by handling inquiries about the online registration package.
• Identify suspicious risk profiles and gather information for appropriate decisions.
• Develop relationships as the primary contact for transitioning prospects and coordinate with business areas.
• Provide onboarding consultations and manage onboarding tasks for prospects affiliating with LPL.
• Analyze advisor registration forms and CRD information to identify required documentation.
• Support OBA review process by gathering information for partners.

Skills

Microsoft Office

Verbal communication

Written communication

Customer service

Team player

Time management

Attention to detail

Problem solving

Education

Bachelor's Degree or 3 Years of Business Equivalent

Tools

Salesforce

Job description

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.

Job Overview:

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
• more

Your recruiter will be happy to discuss all that LPL has to offer!

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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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.

For further information about LPL, please visit www.lpl.com.

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. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• 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. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. 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 [phone].