Senior Registration Specialist – Registrations LPLE

LPL Financial

Registration Specialist processing advisor requests, state registrations, and maintaining compliance for financial services firm. Supporting the strategy and execution of LPL Enterprise LLC.

Posted 7/21/2026full-timeFort Mill • South Carolina • 🇺🇸 United StatesSenior💰 $22 - $37 per hourWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates proficiency in data entry, regulatory compliance, and understanding of FINRA and state registration rules. Capable of managing multiple tasks in a fast-paced environment while providing excellent customer service.

Highest-signal resume keywords

Data EntryRegulatory ComplianceFINRA CRD ExperienceMicrosoft Office Suite ProficiencyClient-Centric Customer Service

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data EntryDocumentation ExperienceProcessing New Advisor PaperworkInsurance LicensingState Registrations

Soft Skills

Attention to DetailAdaptabilityPrioritizationClient-Centric Approach

Tools & Technologies

Microsoft ExcelMicrosoft OutlookDynamics (Case Management)Oracle (Registration)

Certifications & Qualifications

High School DiplomaGED Equivalency

Industry Keywords

Financial ServicesInsuranceAdvisor RequestsRegulatory ComplianceHigh-Volume Environment

Tech Stack

Tools & technologies

Oracle

About the role

Key responsibilities & impact

Processing advisor requests, state registrations, exam requests and other registration requests
Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing
Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions
Assisting partner departments with questions and workflow
Ensuring regulatory compliance on owned processes
Accurate and speedy data entry
Process insurance appointments and licensing requests

Requirements

What you’ll need

1+ years of relevant experience in financial services, insurance, or a related financial organization
Ability to handle multiple tasks in a high-volume and fast past environment
Strong attention to detail and prioritization of tasks
Adaptability, and able to adjust as business needs demand
Client-Centric with excellent Customer Service experience
Proficiency with Microsoft Office suite such as Excel and Outlook
Data entry, mailbox management and documentation experience
Dynamics (case management), Oracle (registration), and FINRA CRD experience
Experience working with advisors and other internal departments
High School Diploma or GED Equivalency

Benefits

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off