This position will be responsible for the processing of
insurance appointment paperwork and the securities registration and
licensing of advisors. Duties include providing outstanding
customer service to advisors through written correspondence, email,
and via phone. Daily tasks include data entry in Oracle, FINRA Web
CRD, and state insurance sites.
Additional duties include:
- Process advisor requests, state registrations, exam requests,
and insurance appointments.
- Perform processing duties such as data entry, generating
correspondence, processing new advisor paperwork and maintenance of
- Become proficient with understanding FINRA and state
registration rules and regulations
- Follow up with advisors and business partners for insurance
- Research items and handle escalations
- Develop relationships with insurance carriers/sponsors
- High School Diploma or GED Equivalency
- Min 1 year experience in financial services, insurance, or a
related financial organization
- FINRA or Insurance Licenses/Certification-not required but a
- Software/System: Proficient in MS Word, Excel, and Outlook
- Must have strong written and verbal communication skills
- Ability to handle multiple tasks in a high volume, fast paced
- Strong detail orientation and prioritization skills
- Ability to work independently
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
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 this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? Learn more here
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.
Information on Interviews:
LPL will only communicate with a job applicant directly from an
@lpl.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 (800) 877-7210.