Associate Supervision Professional

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.

Our Associate Supervision Professionals provide superior customer service as the first line of contact for Supervision technology walk throughs, questions regarding industry rules and regulations and continuing education, requirements and processes for registration and licensing. 

What to Expect: 

 Career Advancement: Continuous feedback and coaching to take your career to the next level in the direction you want to. 

Support & Development: Our Supervision Support team focuses heavily on development and highly encourages team members to obtain additional licensing such as the 66, 24, or 9/10. 

Team Environment: Our Supervision support team has a strong team dynamic with easy access to next level support.  

Responsibilities: 

• Act as the primary advisor-facing contact for supervision technology and regulatory guidance, supporting 100+ advisors while delivering a consistently high-quality client experience 

• Provide clear, accurate guidance on FINRA regulations, firm supervision policies, licensing, and 
  CE requirements, contributing to increased advisor satisfaction scores 

• Partner directly with advisors to manage registration and licensing workflows, ensuring on time 
  submissions and reducing overall rework and follow-ups 

• Manage high-volume, time-sensitive requests in a fast-paced environment while consistently 
  meeting or exceeding SLAs and compliance deadlines 

• Collaborate with internal and external stakeholders to resolve escalations and support regulatory adherence, achieving high first-contact resolution rates. 

• Identify process improvement opportunities that enhance advisor experience, operational 
  efficiency, and support continuous improvement initiatives 

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: 

• 1+ year of recent customer service experience 

• Oral and written communication skills. 

• Ability to learn and maintain knowledge in a very dynamic environment 

• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills. 

• Knowledge of mutual funds, annuities, general securities, and other financial products required. 

• Knowledge of FINRA, SEC, and State rules and regulations

• Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 90 days of employment.  

Core Competencies: 

• Analytical 

• Critical Thinker 

• Reliable 

• Team Player 

Preferences: 

• 1-2 year of financial services experiences focused on investment products. 

• Previous working knowledge of securities licensing and insurance licensing  

• Proactive collaboration and service-based responses with business partners on escalated issues. 

• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and SharePoint.