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Sr Compliance Specialist

3 months ago

San Diego, California, United States LPL Financial LLC Full time
Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you

Job Overview:
This position will be responsible for the processing of insurance appointment paperwork and the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD, RegEd Xchange, and state insurance websites.

Responsibilities:

  • Review, research, process tasks within expected service levels.
  • Ensure proper application of compliance and regulatory policies and procedures.
  • Support our service teams with questions on processed or pending requests.
  • Contribute to continuous improvement of client experience and efficiency.
  • Assist in various company initiatives.
  • Update job knowledge by participating in educational opportunities Additional tasks may be assigned to match changing business needs.
  • Resolving client inquiries via email, and phone.
  • Work in a team-oriented environment.
  • Ability to work in a fast-paced, demanding environment.
  • Improve industry knowledge by participating in educational opportunities.
  • Evaluate existing processes and develop initiatives towards process improvements.
  • Assume ownership of inquiries and see them through to a timely resolution.
  • Train and support team members and other departments on registration processes.

Qualifications:

  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment.
  • Demonstrates accuracy and thoroughness in performing work assignments.
  • Ability to develop positive working relationships and works well in a team setting.
  • Must be self-motivated and effectively cope with changing environments.
  • Can develop resourceful solutions to challenging situations.
  • Experience in the financial industry and/or processing in a high volume and deadline driven environment.
  • Can maintain a high level of output and achieve results without sacrificing quality.
  • Ability to analyze information and strong reporting skills.
  • Ability to respond quickly to new instructions, situations, methods and procedures and display an exceptional ability to learn new methods and adapt to changing situations.
  • Ability to meet strict deadlines with minimal supervision.
  • Familiarity with Oracle, Clientworks, Microsoft Dynamics, and DocumentumPreferences:
  • Bachelor's Degree Preferred.
  • Proficient in Microsoft Office preferred.
  • Strong organizational skills.
  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands and tight deadlines.
  • Attention to detail and excellent problem-solving skills.

Pay Range:
$22.21-$33.32/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 offerWhy LPL?At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact.

We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it's like to work at LPL? Watch thisWe take social responsibility seriously.

Learn more hereWant to see info on our benefits? Learn more hereJoin 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 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 #J-18808-Ljbffr