Onboarding & Compliance 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

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.