Registered Client Service Associate - Raleigh, NC

LPL Financial LLC; Raleigh (NC); On-site; USD 35,610 - 59,347; Full time

Benefits offered by this job

401(k) matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial LLC is seeking a Registered Client Service Associate to provide comprehensive administrative and operational support. You will enhance client experience, ensure seamless account management, and uphold compliance standards.

The ideal candidate will have active Series 7 or Series 66 licenses, strong organizational skills, and a background in financial services. The role includes managing client accounts and assisting with onboarding, while benefiting from a competitive pay range of $25.85 to $43.08 per hour.

Qualifications

• Active Series 7 or Series 66 required.
• Strong knowledge of financial products and services.
• Minimum 3 years in financial services preferred.

Responsibilities

• Acts as the primary point of contact for clients.
• Monitors and manages client account activities.
• Prepares and processes account opening and maintenance documentation.

Skills

Active Series 7 or Series 66

Knowledge of financial products and services

Excellent communication skills

Detail-oriented and organized

Proficiency in Microsoft Office and financial CRM systems

Education

Bachelor's degree in finance, business or accounting

Tools

Microsoft Office

Financial CRM systems

Job description

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, detail-oriented, and possesses strong organizational and communication skills.

Responsibilities

• Acts as the primary point of contact for clients, addressing inquiries and providing timely resolution.
• Educates clients on account services and capabilities, including online access.
• Assists in onboarding new clients by collecting documentation and facilitating account setup.
• Prepares and processes account opening, maintenance, and transfer documentation, ensuring accuracy and compliance.
• Monitors and manages client account activities, including contributions, distributions, trading and performance reporting.
• Maintains organized and up-to-date client records in the firm’s CRM system.
• Ensures adherence to industry regulations and firm policies in all client interactions and documentation.
• Assists in preparing reports for audits and regulatory reviews.
• Stays informed about changes in compliance requirements and implements necessary adjustments to processes.
• Coordinates with custodians and service providers to facilitate client requests and resolves issues.
• Assists financial advisors with administrative tasks, including scheduling meetings and preparing client presentations.
• Participates in team projects aimed at improving operational efficiency and client service delivery.
• May aid in planning and execution of client events, seminars and marketing initiatives.
• Prepares and distributes client communications, newsletters and marketing updates.
• Identifies opportunities to enhance client engagement and contributes to business growth strategies.

Qualifications

• Active Series 7 or Series 66 (or Series 63/65 combination) required.
• Strong knowledge of financial products and services, with the ability to execute trades and discuss investment recommendations within compliance guidelines.
• Excellent communication, interpersonal, and problem‑solving skills; high level of professionalism, discretion, and ethical conduct.
• Highly organized and detail-oriented, with proficiency in Microsoft Office and financial CRM systems; able to work independently and collaboratively in a fast-paced environment.
• Bachelor’s degree in finance, business or accounting (preferred).
• Minimum 3 years in financial services, preferably in a client support role (preferred).

Pay Range

$25.85 - $43.08 per hour. Actual base salary varies based on factors such as relevant skill, prior experience, education, peer salary, performance, and geographic location.

Benefits

LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play, including 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Equal Opportunity Employer

EOE.