Sr. Registration Specialist

2 weeks ago


Fort Mill, United States LPL Financial Full time

Job Overview:

The Registrations team is seeking an individual to support the strategy and execution of LPL Enterprise LLC (LPL E), a new introducing broker dealer clearing through LPL Financial. This individual will have excellent customer service and processing skills as it pertains to servicing the various registrations needs of our Clients and Business Partners. This position will be responsible for the processing of 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.

Responsibilities:

Processing advisor requests, state registrations, exam requests and other registration requests

Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing.

Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions.

Assisting partner departments with questions and workflow

Ensuring regulatory compliance on owned processes

Accurate and speedy data entry

Process insurance appointments and licensing requests.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a fast-paced environment , are client-focused , team oriented , and are able to execute in a way that encourages creativity and continuous improvement .

Requirements:

At least 1-year of relevant experience in financial services, insurance, or a related financial organization

High School Diploma or GED Equivalency

Client-Centric with excellent Customer Service

Ability to handle multiple tasks in a high-volume and fast past environment.

Strong attention to detail and prioritization of tasks

Adaptability, and able to adjust as business needs demand.

Preferences:

Proficiency with Microsoft Office suite such as Excel

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 offer

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