Registered Client Service Associate

Job Title

Registered Client Service Associate

Hartford, CT

As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards. The ideal candidate is dedicated, detail‑oriented, and possesses strong organizational skills, exceptional communication abilities, and a commitment to delivering outstanding client service.

• Acts as the primary point of contact for clients, addressing inquiries and providing timely resolution.
• Educates clients on account services and capabilities, including online access.
• Assists in onboarding new clients by collecting documentation and facilitating account setup.
• Prepares and processes account opening, maintenance, and transfer documentation, ensuring accuracy and compliance.
• Monitors and manages client account activities, including contributions, distributions, trading, and performance reporting.
• Maintains organized and up‑to‑date client records in the firm’s CRM system.
• Ensures adherence to industry regulations and firm policies in all client interactions and documentation.
• Assists in preparing reports for audits and regulatory reviews.
• Stays informed about changes in compliance requirements and implements necessary adjustments to processes.
• Coordinates with custodians and service providers to facilitate client requests and resolve issues.
• Assists financial advisors with administrative tasks such as scheduling meetings and preparing client presentations.
• Participates in team projects aimed at improving operational efficiency and client service delivery.
• Might aid in planning and execution of client events, seminars, and marketing initiatives.
• Prepares and distributes client communications, newsletters, and marketing updates.
• Identifies opportunities to enhance client engagement and contributes to business growth strategies.

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 creativity, continuous improvement, and the ability to win together and create joy in the work.

• Minimum 3 years in financial services, preferably in a client support role.
• Active Series 7 or Series 66 (or Series 63, 65 combo).

• Strong organizational skills and attention to detail.
• Strong problem‑solving skills.
• Ability to work independently and collaboratively in a fast‑paced environment.
• High level of professionalism, discretion, and ethical conduct.

• Robust understanding of financial products and services.
• Ability to execute trades and discuss investment recommendations within compliance limits.
• Excellent communication and interpersonal skills.
• Proficient in Microsoft Office and financial CRM software.
• Bachelor’s degree in finance, business, or accounting.

$25.10 – $41.83 per hour (actual base salary varies based on skill, experience, education, internal peers, performance, and geography). Additional compensation may include a competitive LPL Total Rewards package with 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

LPL offers a comprehensive benefits package designed to support your success at work, at home, and s includes health, dental, vision, 401(k) matching, stock options, paid time off, volunteer time off, and access to a suite of financial tools and resources.

LPL Financial Holdings Inc. (Nasdaq: LPLA) is one of the fastest‑growing wealth‑management firms in the United States. As a leader in the advisor‑mediated marketplace, LPL supports over 29,000 financial advisors and the wealth‑management practices of 1,100 financial institutions, servicing and custodian approximately $1.9 trillion in brokerage and advisory assets on behalf of about 7 million Americans. LPL provides advisor affiliation models, investment solutions, fintech…