Registered Client Service Associate - Remote

LPL Financial LLC; Town of Florida (NY); Hybrid; USD 36,000 - 59,000; Full time

Job summary

LPL Financial Holdings Inc. is seeking a remote assistant to support Financial Advisors within the Large Enterprise model. The role involves direct client and advisor communications, handling inquiries, and ensuring timely service delivery across multiple internal departments.

The ideal candidate has 2+ years in financial services, holds SIE, Series 7 and 66 licenses, and excels in client service and communication. Occasional travel may be required to meet advisors and strengthen relationships.

Qualifications

• 2+ years of financial industry experience, preferably in wealth management.
• Strong background in client service with excellent communication skills.
• Able to work remotely and travel occasionally to build relationships with advisors.

Responsibilities

• Provide client service and advisor support, respond to inquiries, manage inquiries to timely resolution, and educate clients on account services and new technology.
• Manage daily operational reports and support account-related activities while coordinating with internal departments to ensure timely service delivery.
• Handle phones, schedule meetings, and keep CRM records up to date; process expense reports as requested.

Skills

Client service

Communication

Remote work

Time management

Attention to detail

Collaboration

Tools

Redtail CRM

Wealth Box

Job description

Job Overview

This full-time remote opportunity offers the chance to support Financial Advisors affiliated with LPL Financial within our Large Enterprise model. In this role, you may partner with multiple advisor offices, providing critical administrative and operational support to meet evolving business needs. This position is an excellent opportunity to further develop your wealth management expertise while gaining exposure to a variety of advisor practices and collaborating with multiple internal departments across a growing organization. It serves as a strong steppingstone for individuals looking to expand their industry knowledge, build valuable relationships, and advance their careers within the financial services industry.

Responsibilities

• Client Service Functions: Daily direct communication with advisors and clients while assuming ownership of inquiries and see them through to a timely resolution & building rapport. Address questions from clients (account activity, policies and documentation requests). Proactive outreach to clients and advisors on time sensitive activities - RMDs, distributions and tax forms. Submit instructions for account activities on behalf of the advisor and end clients for account functions (New Accounts, Cash Management, Transfers, Account Maintenance, Trade Orders). Research complex situations, set client expectations, and define the actions necessary to resolve inquiries in a timely manner, and collaborate with internal departments to ensure timely service delivery. Educate clients and advisors on account services, capabilities, and new technology – eSignature, paperless statements, Account View (client portal), etc. Actively contribute to the development of your peers by sharing best practices and participating in other project work as assigned.


• Operational Functions: Manage daily reports for account activities that are operational in nature – cash management, RMDs, periodic distributions, debits, pending settlements, etc. Assume ownership of inquiries and requests; communicate with internal departments to ensure clients’ expectations for timely service delivery are met. Manage and complete project work (i.e. linking annuities). Help reduce LPL operating cost through increased usage of eSignature, paperless statements, account view, and reduced NIGOs. Work alongside your peers to cover PTO requests of offices.


• Administrative Functions: Answer phones, schedule appointments, and prepare materials for client meetings, if requested. Keep client management systems up to date with client information using CRMs Redtail and/or Wealth Box. Accurately complete expense reports on behalf of the financial advisors, if requested.

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

• 2+ years of financial industry experience, preferably in wealth management


• SIE, Series 7 and 66 licensed


• Strong background in client service with excellent communication skills


• Proven ability to work in a remote environment with a focus on supporting advisors with occasional travel (approximately once per year) to build relationships with the advisors that you would support

Core Competencies

• Strong attention to detail and organizational skills


• Effective oral and written communication; able to explain complex information clearly and simply


• Outstanding interpersonal skills with the ability to build and foster relationships with clients, coworkers, and internal/external partners


• Organized with strong attention to detail and problem-solving abilities


• Time management skills with the ability to handle multiple projects and deadlines

Pay Range: $25.85-$43.08/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, and more.

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 they need 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.

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].

EOE.

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