Sr. Client Service Associate

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What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview: As a Senior Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This pivotal role focuses on enhancing client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. The ideal candidate possesses strong organizational skills, exceptional client service abilities, and a thorough understanding of financial products and services.

Responsibilities:

• Serve as a primary point of contact for clients, addressing inquiries and providing timely resolutions.
• Educate clients on firm services and solutions that support their financial needs.
• Assist clients with account related requests, including move money transactions, account maintenance, online system access and navigation.
• Onboarding and maintain client accounts by collecting necessary documentation, assessing risk profiles, and ensuring compliance with regulatory standards.
• Process client transactions accurately, including trade orders at the direction of clients and/or the financial advisors.
• May prepare financial plans, client reports, and other materials for client meetings, ensuring all information is current and accurate.
• Ensure adherence to firm policies, procedures, and regulatory requirements in all client interactions and documentation.
• Monitor and take appropriate action on client account alerts and assist in preparing reporting for audits and regulatory reviews.
• Stay informed about changes in compliance regulations and implement necessary adjustments to processes.
• May partner with the financial advisors to develop and execute business plans and client services.
• May support the team’s marketing strategy by reviewing and approving marketing materials, social media platforms, and planning client events and seminars.
• Identify opportunities to enhance client engagement and contribute to business growth strategies.
• Perform administrative duties that support the financial advisors in daily business practices, including phone coverage, business travel arrangements, coordination of client meetings, expense reports, and file and calendar maintenance.
• Actively engage in available training and education programs to stay current on firm policies, procedures, and new platforms.
• Proactively participate in firm initiatives directed by management and seek opportunities to use firm resources for peer sharing and collaboration.

What are we looking for? We’re looking for 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 those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• 4+ years in financial services, preferably in a client support role
• Active Series 7 and/or 66 (or equivalent)

Preferences:

• Demonstrated strong performance in previous roles, with a focus on client relationship management and operational support.
• Robust understanding of financial products and services.
• Ability to execute trades and discuss investment recommendations with compliance limits.
• Excellent communication and interpersonal skills.
• Strong organizational skills and attention to detail.
• Proficient in Microsoft Office and financial CRM software.
• Strong problem-solving skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• High level of professionalism, discretion and ethical conduct.
• Bachelor’s degree in finance, business or accounting.

LPL Financial is an Equal Employment Opportunity employer.
Pay Range: $22.82-$38.04/hour. Actual 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.

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor (RIA) firms nationwide.