LPL Financial · 1 day ago
Associate Supervision Professional
Tempe
Full-time
Onsite
Entry Level
$21.10/hr - $35.16/hr
1+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., and they are seeking an Associate Supervision Professional to provide superior customer service as the first line of contact for Supervision technology. This role involves assisting with questions regarding industry rules and regulations and supporting the registration and licensing processes.
FinanceFinancial Services
Responsibilities
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
Qualification
Required
Minimum 1 year of recent customer service experience
Excellent oral and written communication skills
Ability to quickly 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 required
Licenses requirement: FINRA SIE and Series 7 top-off or must be passed within 90 days of employment
Analytical
Critical Thinker
Reliable
Team Player
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
Investment News
2026-01-22
2026-01-16
Company data provided by crunchbase