Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Job Overview:

The ideal candidate will have a solid understanding of the financial services industry, brokerage operations, along with proven success with operating in a dynamic fast-paced environment. Outstanding customer service and effective communication skills are essential. The Onboarding Consultant (OC) 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, Institution Services, and Hybrid RIA channels. The OC will be responsible for Managing and consulting on all onboarding and integration aspects with individual prospects and large groups including individuals converting between LPL platforms. Onboarding Consultant will conduct compliance reviews for prospects who qualify under low-risk profile criteria.

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 completed and discussed to meet advisor’s expectations. Create conversion and repapering plans to migrate accounts and assets for advisors.
• Business Analysis - Conduct an in-depth advisor profile and analysis of the current and projected business model. Identify action items and LPL resources and make recommendations to the advisor. Use discretion in coordinating communication with other business units to identify investment opportunities for the advisor.
• Regulatory Compliance - Review advisor office setup and structure and review best practices. Coordinate time with outside counsel to ensure the advisor understands any contractual requirements and potential regulation S-P issues. Provide clear direction on complying with legal recommendations. For converting advisors, provide education on the key factors involved with converting to the Hybrid RIA platform including but not limited to repapering requirements, business structure, best practice advice for state specific guideline, LPL specific RIA standards and current RIA industry changes.
• Marketing Analysis and Planning - Partner with Marketing Regulatory Review to evaluate client-facing correspondence, make recommendations for a marketing plan and ensure all marketing materials have been submitted for review and approval.
• Business Partnership - Facilitate communication and coordination between departments to ensure smooth advisor integration. Proactively engage in the recruiting process by working closely with Business Development to ensure clear communication of commitments and set expectations. Represent the department in Home Office Visits in an effort to win new business.
• Conduct Low 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 prepare & send over to our Advisor & OBA Review business partners.

Qualifications:

• Education Requirements:

Bachelor’s Degree or minimum 5 Years Business Equivalent

Licenses/Certifications:

• Series 7, 63 or 66, preferred

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.