Service Center Compliance Representative

For the 10th year in a row, LPL Financial Services (LPL) has been named America"&tm;s number one independent brokerage firm*. Formed in 1989 through the merger of two small but successful brokerage firms, Linsco and Private Ledger, our firm continues to be an industry leader. Both a pioneer and innovator in the financial services arena, LPL manages over $95 billion in assets through its nationwide network of financial advisors. With dual headquarters in Boston and San Diego, we support over 6,000 financial advisors in more than 3,500 branch offices. The focus of our firm has always been on our advisors and our commitment to help them grow their business. In addition to providing independent research and operational support, LPL also leads the way on the technology front, offering innovative investment platforms that automate time-consuming functions. LPL"&tm;s technology streamlines business processes for advisors, freeing up their time to focus on what they do best "" provide sound financial advice and services to their clients.

LPL is a company for talented people who thrive in a dynamic, challenging and growth-oriented environment. You are invited to consider an opening for a Service Center Compliance Representative> in our San Diego office:

This position is responsible for providing superior customer service to large base of financial advisors acting as a first point of contact for Compliance and Registration issues. Representative helps advisors ensure compliance with applicable industry rules (State, NASD and SEC regulations) & company policies through effective communication and handling of incoming phone calls. Must possess strong problem solving skills and be willing to take ownership of issues through resolution.

Excellent communication, customer service and analytical skills are a must. The ideal candidate will have the ability to multi-task in a fast paced, dynamic environment. College degree and 1-2 years of brokerage, banking or financial services experience is preferred. NASD Series 7 required. Series 24 must be obtained within 60 days of hire.

Required Skills:
We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE


*Based on revenues, as reported in Financial Planning magazine, 1996-2005.





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