Supervision Resolution Professional

LPL Financial LLC; Fort Mill (SC); On-site; USD 37,000 - 62,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial Holdings Inc. seeks a Supervision Resolution Professional to support the Compliance, Registration, and Continuing Education team. You will assist financial advisors and staff in meeting State, SEC, and FINRA rules, company policies, and licensing requirements.

Experience in financial services and strong communication are essential. The role emphasizes collaborative problem solving, timely customer service, and ownership of escalated issues to maintain advisor success.

Qualifications

• 3+ years of previous customer service experience.
• Series SIE 7 and Series 66 (or S63/S65) required.
• Customer focus with excellent verbal and written communication.
• Proficient in Microsoft Office and web-based applications.
• Ability to handle complex issues in a call center and multi-application environment.

Responsibilities

• Assist Service Professionals on Compliance, Registration, and Continuing Education.
• Explain regulatory and operational information to advisory staff.
• Research and resolve advisor issues with discretion and business judgment.
• Provide leadership to foster trust among employees and advisors.
• QC operational tasks and ensure timely processing with SLA adherence.
• Collaborate with internal teams to resolve escalated issues and complaints.
• Monitor phone queues and maintain schedules; work with legal to report audits.

Skills

SIE 7

Series 66

Customer focus

Verbal and written communication

Strong work ethic

Organizational skills

Problem solving

Tools

Microsoft Office

Web-based applications

PC lookup & data input

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.Joining our team as a Supervision Resolution Professional Compliance, Registration, and Continuing Education team will allow you to support financial advisors by offering an extraordinary quality service experience. Our service team’s main priority is to create a reliable support system for our clients so they can easily grow their practice. Being flexible and adaptable to competing priorities will be key success factors for this position.ResponsibilitiesThe Supervision Resolution Professional position will assist the Service Professionals on the Compliance, Registration, and Continuing Education team, whose focus is to assist financial advisors and their staff in ensuring compliance with applicable industry rules (State, SEC and FINRA regulations), company policies, and insurance licensing and appointments. You will be responsible for assisting the Service Professionals in a manner consistent with LPL Financials values. No matter what the situation, the team’s duty remains the same: Providing our clients with timely, correct, and relevant information, when and where they need it so that in turn, they can help their clients achieve their own financial dreams.If you have an entrepreneurial spirt and a passion for coaching, facilitation, and addressing challenging interpersonal dynamics, this would be a rewarding career for you.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.Requirements3+ years of previous customer service experienceSeries SIE 7, Series 66 (or S63 and S65)Customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organizeProficient in Microsoft Office and web based applications. Adept with PC look up and data inputAbility to assist internal customers with complex issues in a call center environmentManage multiple applications simultaneously while accessing data via multiple PC lookupPC and data input skillsAbility to articulate complex regulatory and operational informationCore CompetenciesAct as a subject matter expert on operational policies and procedures by assisting front line associates with complex policies and procedures questions as well as registration issues. Consult with front line associates on how to effectively respond to customer issuesExercise discretion and business judgment; research and resolve advisor issuesProvide compassionate and visible leadership which foster positive attitudes and trust among employees and our advisorsQC operational tasks to ensure they are completed correctlyPartner with internal contacts to resolve difficult and/or out of SLA issues. Work with legal to report audits and complaints and registrations ops to address any issues with licensing and appointments that reps are encounteringResolve escalated issues, taking ownership and ensuring the situation is completely resolvedMonitor phone queues and real time adherence to ensure associates are adhering to their assigned schedulesWork closely with internal departments to improve processes and ensure timely processingPreferences3+ years of financial services experience required, investment servicesMust pass within 120 days of employment: 9 and 10 or Series 24: then Series 4 & 53 (for candidates with S24)Prior Supervisory or Management experienceORACLE and Beta experiencePay Range:$27.19-$45.31/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