Sr. Onboarding Partner

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The Onboarding Partner in Business Transitions will have a solid understanding of the financial services industry, brokerage, and advisory operations, along with proven success with operating in a dynamic fast-paced environment. Outstanding customer service and effective communication skills are essential. The Onboarding Partner (OP) will develop and maintain essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL’s Independent Advisor Services, Strategic Wealth, Corporate Advisory Only, Linsco, Institution Services, Hybrid RIA and expanded business lines.

The OP will be responsible for managing and consulting on all onboarding and integration aspects with individual prospects including individuals converting between LPL platforms. The OP will conduct low-risk and complex compliance reviews for prospects.

Roles & Responsibilities :

Strategic planning and execution – Create a customized onboarding plan outlining the applicable tasks, ownership, and expected dates of completion.

Manage accountability of task assignments and targeted completion dates. Utilize internal resources to ensure onboarding milestones are measurable, completed and discussed to meet advisor’s expectations.

Create conversion and repapering plans to migrate accounts and assets for advisors.

Affiliation consultation – Conduct an in-depth review of the projected business model affiliation. Educate and consult the advisor onthe specifics of the identified affiliation and make recommendations if needed. Use discretion in coordinating communication withother business units to identify investment opportunities for the advisor.

Provide effective and measurable onboarding consultation by managing all onboarding tasks and integration activities with individual prospects and groups affiliating to LPL, in addition to providing relevant and crucial guidance to mitigate risk and enhance the advisor experience.

Regulatory Compliance
- Review advisor office setup and structure and review best practices. Coordinate time with outside counselto ensure the advisor understands any contractual requirements and potential regulation S-P concerns.

Provide clear direction on complying with legal recommendations.

Marketing analysis and planning – Partner with Advertising Compliance to make recommendations for a marketing plan and ensureall marketing materials have been submitted for review and approval based on custom plan and outside counsel guidance.

Business partnership
- Facilitate communication and coordination between departments to ensure smooth advisor integration.

Proactively engage in the recruiting process by working closely with Business Strategy and Growth to ensure clear communication of commitments and set expectations. Represent the department in Home Office Visits to earn new business.

Conduct low and high-risk Compliance reviews and facilitate discussions with prospects in the event additional items are required to complete approval for affiliation.

Facilitate the OBA review process by reaching out to the advisor to gather all required information to provide to our Advisor & OBAReview business partners, while exercising a high level of discretion and EQ.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…