Associate Onboarding Partner

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.

The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment. Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL’s Independent Advisor Services, Institution Services, and Hybrid RIA channels.

Associate Onboarding Partners (AOP) will conduct compliance reviews for prospects who qualify under low-risk profile criteria

• Facilitate discussions with prospects in the event additional items are required to complete approval for affiliation. Partner closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial.
• Interact with advisors and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination.
• Provide superior customer service to prospects by handling incoming inquiries to the department mailbox regarding completion of the online registration package.
• Identify suspicious risk profiles and ensure all appropriate information and details are gathered to make an appropriate decision
• Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects and collaborate with appropriate business areas to answer prospects’ questions.
• Provide effective onboarding consultation by managing all onboarding tasks and integration activities with individual prospects and groups affiliating with LPL, in addition to providing relevant and crucial guidance to mitigate risk and enhance the advisor experience.
• Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality and high level of EQ with sensitive advisor information.
• Work closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays. Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial.
• Facilitate the OBA review process by reaching out to the advisor to gather all required information to provide to our Advisor & OBA Review business partners, while exercising a high level of discretion and EQ.
• Provide relevant and required training instructions on systems and processes with advisors and/or their office staff.
• Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc.
• Flexibility to work evening hours and weekends if applicable based on volumes or projects.
• Support department projects and initiatives as necessary.

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.

• Bachelor’s Degree or minimum 3 Years of Business Equivalent

• Microsoft Office Product Suite experience
• Ability to confidently present in front of small groups
• Self-motivated team player
• Excellent verbal and written communication skills
• Superior phone skills
• Must be able to organize activities and handle multiple…