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Sr. Registration Specialist - Registrations at LPL Financial - ApplyBlast

Sr. Registration Specialist - Registrations

LPL Financial

3 months ago

3.5 on Glassdoor

Fort Mill, South Carolina

Onsite

Full Time

Junior

0 applicants

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About this role

The Registrations team at LPL Financial is seeking a detail-oriented professional to support the strategy and execution of LPL Enterprise LLC. This role involves processing securities registration and licensing for financial advisors, managing data entry in Oracle and FINRA Web CRD, and providing customer service via email, phone, and written correspondence. The ideal candidate will ensure regulatory compliance while assisting partner departments with workflow questions in a fast-paced environment.

Responsibilities

Process securities registration and licensing requests for financial advisors
Perform accurate data entry in Oracle and FINRA Web CRD systems
Provide customer service to advisors via email, phone, and written correspondence
Ensure regulatory compliance on owned processes and maintain advisor records
Assist partner departments with workflow questions and operational support

Skills

About LPL Financial

lpl.com

Headquarters

San Diego, California, United States

Company Size

5001-10000 employees

Founded

1989

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A leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.