Sr. Client Comp Professional

1 month ago

Tempe, United States LPL Financial Full time

Are you a team player looking for a dynamic and innovative environment? Do you thrive in a culture of learning and growth? Are you passionate about empowering others to succeed? If so, LPL Financial is the perfect place for you

LPL Financial (Nasdaq: LPLA) was founded on a simple yet powerful principle: the firm should work for the advisor, not the other way around. This guiding philosophy has driven our growth and success as a leading financial services organization. We're revolutionizing the industry by putting advisors first. With over 22,000 financial advisors, 1,100 institution-based investment programs, and 570 independent RIA firms nationwide, we're dedicated to the advisor-centered model. We believe that Americans deserve personalized guidance from a financial advisor, and we're committed to providing the support our advisors need to grow their business while giving them the freedom to manage their client relationships and choose the resources that help them thrive.

Our advisor-centered model is built on the idea that financial advisors know their clients best. We believe that advisors should have the freedom to manage their client relationships and choose the business model, services, and technology resources that allow them to run their perfect practice. In return, we take care of our advisors, so they can take care of their clients.

Job Overview:
As a Senior Client Comp Professional within our Client Compensation Processing Operations team, you will play a critical role in delivering expert solutions to middle and back-office processing inquiries and requests. By joining our team, you will have the opportunity to develop deep expertise in the payout and research of advisor compensation, supporting financial advisors and ensuring accurate and timely payments.

In this role, you will be responsible for contributing to the planning and execution of large-scale projects and initiatives, driving successful outcomes and results for our department and advisors. Being flexible and adaptable to competing priorities will be key success factors for this position.

Responsibilities:

Developing a deep understanding of Client Compensation operations processing and procedures Initiating outbound calls and emails to third-party sponsors and carriers to research commissions and trails Monitoring commission levels and working with sponsors, fund companies, and internal stakeholders to resolve complex commission problems Providing exceptional customer service through prompt and accurate responses to internal and external stakeholder inquiries Taking ownership of Client Compensation escalations and serving as a dedicated liaison for escalated cases Processing transactions with precision and accuracy, ensuring timely and proper payments flow to financial advisors and their firms Collaborating with teammates and internal business partners to resolve escalations and improve advisor experience Identifying opportunities for continuous improvement and adaptation Maintaining high levels of professionalism and empathy while interacting with stakeholders Stay up-to-date with industry trends and best practices through continuous learning

Requirements:

Bachelor's Degree FINRA Securities Industries Essentials (SIE) Certification or ability to obtain within 120 days 2+ years of experience in client-facing or operations roles within the financial services industry Proficiency in MS Office, particularly Excel

Core Competencies:

Customer-centric focus with a strong work ethic Excellent verbal and written communication skills Strong time management and organizational skills Attention to detail with a proactive approach to solving problems Ability to present complex information clearly and concisely Self-motivation, adaptability, and responsiveness to coaching and training

Preferences:

Knowledgeable in Oracle (ComReg) functionality, BETA, Tumbleweed, and Salesforce

What We Offer:

The opportunity to work with a leading financial services organization committed to innovation and growth A dynamic and collaborative work environment that fosters learning and development The chance to make a meaningful impact on the financial services industry Competitive compensation and benefits package A culture that values diversity, equity, inclusion, and belonging

Pay Range:

$17.07-$28.46/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

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