Sr. Client Service Associate

LPL Financial LLC; Rockville (MD); On-site; USD 45,000 - 76,000; 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 seeking a Senior Registered Client Service Associate in Rockville, MD to provide comprehensive administrative and operational support within the advisor's practice. The role emphasizes client relationship enhancement, regulatory compliance, and growth support.

Ideal candidates will hold Active Series 7 and 66 licenses with 7+ years in financial services, and possess strong knowledge of financial products, trade execution, and professional client service skills.

Qualifications

• Active Series 7 and 66 licenses with 7+ years of financial services experience.
• Strong knowledge of financial products and services, including trade execution.
• Proven client service professional with excellent communication and relationship management.

Responsibilities

• Serve as the primary point of contact for clients and resolve issues promptly.
• Support account maintenance, money movement, onboarding, and client documentation within regulatory guidelines.
• Process transactions and trade requests accurately while maintaining records and monitoring alerts.
• Collaborate with advisors to prepare financial plans and client meeting materials.

Skills

Client service

Communication

Organization

Problem solving

Education

Bachelor's degree in finance/business

Tools

Microsoft Office

Financial CRM platforms

Job description

Where Ambition Meets Innovation Build 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 Senior Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This pivotal role focuses on enhancing client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. The ideal candidate possesses strong organizational skills, exceptional client service abilities, and a thorough understanding of financial products and services.

Responsibilities

• Serve as the primary point of contact for clients, providing exceptional service and timely issue resolution.
• Support account maintenance, money movement requests, onboarding, and client documentation while ensuring regulatory compliance.
• Process transactions and trade requests accurately while maintaining account records and monitoring alerts.
• Partner with advisors to prepare financial plans, client meeting materials, and deliver ongoing client support.
• Maintain compliance with firm policies, regulatory requirements, audits, and risk management procedures.
• Support business growth through client engagement, marketing initiatives, event coordination, and administrative operations.

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

• Active Series 7 and 66 (or equivalent) licenses with 7+ years of financial services experience, preferably in a client support or advisor support role.
• Strong knowledge of financial products and services, including trade execution and the ability to discuss investment recommendations within compliance guidelines.
• Proven client service professional with exceptional communication, organization, problem-solving, and relationship management skills, complemented by proficiency in Microsoft Office, financial CRM platforms, and a high degree of professionalism and attention.

Preferences

• Bachelor's degree in finance, business or accounting.

Pay Range

Pay Range: $33.33-$55.51/hour

Benefits

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.

• 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 thriving businesses. 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.

Principals only.

EOE.

LPL Financial is the nation's largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone.

LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page.

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