Registered Client Service Associate - Newport Beach, CA

LPL Financial LLC; Newport Beach (CA); On-site; USD 81,577,000 - 135,935,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial is seeking a Registered Client Service Associate in Newport Beach, CA to provide comprehensive administrative and operational support for the financial advisor's practice.

You will handle client inquiries, onboarding, account setup, and ensure compliance while maintaining high-quality service and organization.

Qualifications

• Active Series 7 or Series 66 (Series 63/65 combination acceptable).
• 3+ years of experience in a client-facing role supporting wealth management advisors.
• In-office role, Monday–Friday.
• Excellent communication and interpersonal skills.

Responsibilities

• Serve as the primary point of contact for clients and educate them on account services.
• Support onboarding of new clients and ensure compliant account setup.
• Prepare and process account opening, maintenance, and transfer documentation.
• Monitor client activity and assist with reporting and trading support.
• Collaborate with custodians and internal teams to fulfill client requests.

Skills

Series 7/66

Client-facing experience

Wealth management knowledge

Microsoft Office

CRM software

Communication

Organization

Education

Bachelor's degree in finance or business

Tools

CRM software

Microsoft Office

Job description

Where Ambition Meets InnovationBuild a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.Job Overview:As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards. The ideal candidate is dedicated and detailed-oriented. Possess strong organizational skills, exceptional communication abilities, and a commitment to delivering outstanding client service.Responsibilities:Serve as the primary point of contact for clients, responding to inquiries, resolving issues, and educating clients on account services and online capabilitiesSupport onboarding of new clients by collecting required documentation and facilitating accurate, compliant account setupPrepare and process account opening, maintenance, and transfer documentation, ensuring adherence to firm policies and regulatory requirementsMonitor and manage client account activity, including contributions, distributions, trading support, and performance reportingMaintain accurate, organized, and up‑to‑date client records within the firm’s CRM and document management systemsCoordinate with custodians, service providers, and internal teams to fulfill client requests and resolve operational issuesAssist financial advisors with administrative and operational support, reporting, client communications, and initiatives to enhance client engagement and operational efficiencyWhat 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:Active Series 7 or Series 66 (Series 63/65 combination acceptable)3+ years of experience in a client-facing role supporting wealth management advisors, with the ability to remain composed under pressure, work effectively with diverse personalities, and thrive in fast‑paced, high‑volume environments while maintaining strong attention to detailIn-office role, Monday–FridayCore Competencies:Robust understanding of financial products and services.Ability to execute trades and discuss investment recommendations within compliance limits.Excellent communication and interpersonal skills.Strong organizational skills and attention to detail.Proficient in Microsoft Office and financial CRM software.Strong problem-solving skills.Ability to work independently and collaboratively in a fast-paced environment.High level of professionalism, discretion, an ethical conduct.Preferences:Bachelor’s degree in finance, business or accounting.Minimum 3 years in financial services, preferably in a client support role.#LI-OnsitePay Range:$28.47-$47.44/hourActual 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) 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. For further information about LPL, please visit www.lpl.com.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 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 [phone].EAC 5.19.26