Finance Consultant Jobs At LPL Financial

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Nuvision Credit Union invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Our responsibility to our clients comes first. From wealth management to retirement solutions, our insight and sophisticated financial strategies can help make your investment goals a reality. Nuvision acquired SafeAmerica CU at the beginning of February. For nearly 90 years, Nuvision has been dedicated to helping our hardworking members build better lives. SafeAmerica shares these same values and member-first philosophy, with a similar culture and deep California roots. Through our partnership, we'll bring the best of our two organizations together to bring an enhanced product offering, expanded branch network and more resources to all our members. This role will require the employee to work on-site at the local bank branch located in Pleasanton, CA. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements Delivering a high quality customer service experience during each customer interaction Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: High school diploma or equivalent (Bachelor's Degree Preferred) Minimum of two (2) years investment sales experience (preferably in a financial institution) Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: Demonstrated ability to sell products and services to investment clients; evidence of strong sales results Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space Excellent knowledge of investment/insurance products and financial planning Core Competencies: Strong self-motivation and ability to work independently Excellent verbal, written and interpersonal communication skills Possess strong organization skills Excellent customer service and business focus with a great attention to detail Effective research and analysis skills #LI-Onsite Pay Range: $68,640-$70,000 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Are you passionate about serving clients and helping people improve their financial well-being? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, then this could be the role for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. **This is not a remote role - The candidate must be local to Springfield, IL and will be working on-site at Security Bank.** Job Overview: A Financial Consultant acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements Delivering a high quality customer service experience during each customer interaction Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: High school diploma or equivalent (Bachelor's Degree Preferred) Minimum of two (2) years investment sales experience (preferably in a financial institution) Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: Demonstrated ability to sell products and services to investment clients; evidence of strong sales results Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space Excellent knowledge of investment/insurance products and financial planning Core Competencies: Strong self-motivation and ability to work independently Excellent verbal, written and interpersonal communication skills Possess strong organization skills Excellent customer service and business focus with a great attention to detail Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Nuvision Credit Union invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Our responsibility to our clients comes first. From wealth management to retirement solutions, our insight and sophisticated financial strategies can help make your investment goals a reality. Nuvision acquired SafeAmerica CU at the beginning of February. For nearly 90 years, Nuvision has been dedicated to helping our hardworking members build better lives. SafeAmerica shares these same values and member-first philosophy, with a similar culture and deep California roots. Through our partnership, we'll bring the best of our two organizations together to bring an enhanced product offering, expanded branch network and more resources to all our members. This role will require the employee to work on-site at the local bank branch located in Pleasanton, CA. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $68,640-$70,000 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Are you passionate about serving clients and helping people improve their financial well-being? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, then this could be the role for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. This is not a remote role - The candidate must be local to Springfield, IL and will be working on-site at Security Bank. Job Overview: A Financial Consultant acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Are you a team player with a growth mindset? 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: As a Senior Investment Analyst on the Manager Research team at LPL Financial you will join a collaborative group of research professionals focused on conducting investment manager due diligence and searches. In addition, you will provide market and asset class updates to colleagues and LPL advisors, provide analytical insights through explorative and diligent asset class research, and assist with managing model portfolios. Responsibilities: Conduct investment manager searches across equity (investment style and market cap spectrum) and fixed income (taxable and tax free). Evaluate and monitor investment managers across a wide range of criteria and articulate your opinions verbally and in writing. Participate in the model portfolio construction and monitoring process. Support LPL advisors by responding to requests for analysis on current and prospective equity investment managers. Collaborate with LPL Research colleagues and other LPL Home Office professionals on educational topics, portfolio structure, and general public equity asset class questions. Join a close-knit community of diverse, supportive, encouraging, and inspiring colleagues who maintain an appreciation for grounded and authentic individuals. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: Bachelor's degree 5+ years of relevant industry experience FINRA Series 7 and 66 license required (either have or be willing to obtain after hiring). Core Competencies: Values diversity, equity, and belonging as key tenets of an impactful culture and successful business. Has a strong and demonstrated interest in investing and following the markets. Feels comfortable working within a team to find the right solutions for clients Preferences: Expresses an interest in becoming a CFA Charter holder (if not yet earned). Pay Range: $127,500-$212,500/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Are you a team player with a growth mindset? 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: As a Senior Investment Analyst on the Manager Research team at LPL Financial you will join a collaborative group of research professionals focused on conducting investment manager due diligence and searches. In addition, you will provide market and asset class updates to colleagues and LPL advisors, provide analytical insights through explorative and diligent asset class research, and assist with managing model portfolios. Responsibilities: Conduct investment manager searches across equity (investment style and market cap spectrum) and fixed income (taxable and tax free). Evaluate and monitor investment managers across a wide range of criteria and articulate your opinions verbally and in writing. Participate in the model portfolio construction and monitoring process. Support LPL advisors by responding to requests for analysis on current and prospective equity investment managers. Collaborate with LPL Research colleagues and other LPL Home Office professionals on educational topics, portfolio structure, and general public equity asset class questions. Join a close-knit community of diverse, supportive, encouraging, and inspiring colleagues who maintain an appreciation for grounded and authentic individuals. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: Bachelor's degree 5+ years of relevant industry experience FINRA Series 7 and 66 license required (either have or be willing to obtain after hiring). Core Competencies: Values diversity, equity, and belonging as key tenets of an impactful culture and successful business. Has a strong and demonstrated interest in investing and following the markets. Feels comfortable working within a team to find the right solutions for clients Preferences: Expresses an interest in becoming a CFA Charter holder (if not yet earned). Pay Range: $127,500-$212,500/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Are you passionate about serving clients and helping people improve their financial well-being? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, then this could be the role for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. This is not a remote role - The candidate must be local to Montepelier, VT and will be on-site at EastRise Credit Union . Job Overview: A Financial Consultant acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

The Trading Analyst for Tax Overlay is responsible for the day-to-day monitoring and administration of accounts enrolled into LPL Tax Overlay UMA. LPL Tax Overlay is comprised of three primary functions in addition to Standard UMA: * A customizable solution for investors who want to control the realization of long-term capital gains in their portfolio * A managed solution to diversify concentrated portfolios in a tax efficient manner * Personalized analysis and consultation for advisors to support New Accounts and to quantify benefits of LPL Tax Overlay Responsibilities: * Participates in the management and execution of the LPL Tax Overlay processes as they relate to trading and maintenance of the accounts: Daily, Weekly, Monthly, and Quarterly Action Items * Works with LPL's proprietary investment management system, the Tax Overlay Analyst will identify client accounts for optimization, review recommended transactions based on established guidelines, and consolidate & execute transactions across accounts * Ensure that results are consistent across accounts and ensure that accounts are managed within their specific tax settings as defined by the client and their financial advisor * Provide exemplary customer service by performing necessary follow up directly with advisors on changes to accounts and accounts that cannot be managed within given constraints * Research complex situations and communicate the actions necessary to resolve the situation * Ability to meet strict deadlines with minimal supervision in a fast-paced environment * Ability to take on new challenges * Subject Matter Expert on Operational Policies and procedures with a primary focus on LPL Tax Overlay * Focuses on increasing efficiencies and reducing risk by improving current processes * Project Testing and Implementation What are we looking for? The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation. Candidate will need to be highly analytical, have a reputation for high productivity and accuracy, capable of achieving outstanding results under time constraints. Requirements: * Bachelor's Degree * Series 7/65 or 66 * Knowledge of investment management operations and practices with particular emphasis on unified managed accounts including trading and portfolio accounting systems * 3+ years of experience working in the financial industry and/or processing in a high volume and deadline-driven environment * 1+ years of Service-oriented experience working with various groups such as clients, consultants, other firms, and service teams Core Competencies: * Effective team player * Ability to handle escalated items timely and accurately. * Demonstrates the ability to collaborate within department and in meetings to implement or support ongoing processes * MS- Excel- Proficient * Visual Basic- Introductory Preferences: * CFA Candidate * BETA - Proficient * InvestCloud - Proficient * Bachelor's degree * Excel Macro (Visual Basic) experience * Business Process improvement experience #LI-PA Pay Range: $30.32-$50.54/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

The Trading Analyst for Tax Overlay is responsible for the day-to-day monitoring and administration of accounts enrolled into LPL Tax Overlay UMA. LPL Tax Overlay is comprised of three primary functions in addition to Standard UMA: A customizable solution for investors who want to control the realization of long-term capital gains in their portfolio A managed solution to diversify concentrated portfolios in a tax efficient manner Personalized analysis and consultation for advisors to support New Accounts and to quantify benefits of LPL Tax Overlay Responsibilities: Participates in the management and execution of the LPL Tax Overlay processes as they relate to trading and maintenance of the accounts: Daily, Weekly, Monthly, and Quarterly Action Items Works with LPL's proprietary investment management system, the Tax Overlay Analyst will identify client accounts for optimization, review recommended transactions based on established guidelines, and consolidate & execute transactions across accounts Ensure that results are consistent across accounts and ensure that accounts are managed within their specific tax settings as defined by the client and their financial advisor Provide exemplary customer service by performing necessary follow up directly with advisors on changes to accounts and accounts that cannot be managed within given constraints Research complex situations and communicate the actions necessary to resolve the situation Ability to meet strict deadlines with minimal supervision in a fast-paced environment Ability to take on new challenges Subject Matter Expert on Operational Policies and procedures with a primary focus on LPL Tax Overlay Focuses on increasing efficiencies and reducing risk by improving current processes Project Testing and Implementation What are we looking for? The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation. Candidate will need to be highly analytical, have a reputation for high productivity and accuracy, capable of achieving outstanding results under time constraints. Requirements: Bachelor's Degree Series 7/65 or 66 Knowledge of investment management operations and practices with particular emphasis on unified managed accounts including trading and portfolio accounting systems 3+ years of experience working in the financial industry and/or processing in a high volume and deadline-driven environment 1+ years of Service-oriented experience working with various groups such as clients, consultants, other firms, and service teams Core Competencies: Effective team player Ability to handle escalated items timely and accurately. Demonstrates the ability to collaborate within department and in meetings to implement or support ongoing processes MS- Excel- Proficient Visual Basic- Introductory Preferences: CFA Candidate BETA - Proficient InvestCloud - Proficient Bachelor's degree Excel Macro (Visual Basic) experience Business Process improvement experience #LI-PA Pay Range: $30.32-$50.54/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

The Trading Analyst reviews activity in the trading inventory accounts and works closely with management, senior analysts, Trading Compliance and other departments to provide regulatory and procedural oversight to the fixed income trading desk. Assignments are complex and require sophisticated analysis combined with seasoned judgment. The Analyst will operate with wide latitude for making independent decisions, determinations, and recommendations, which typically have significant financial, operational, legal, or reputational impact. Supporting Fixed Income Trading, the Analyst will also be responsible for entering trades that can't be entered by Traders, resolve trade fails, identify and repair trade rejects and other trade-related issues in a high volume fast paced environment. Skill sets should include a strong excel background with the ability to improvise solutions integrating excel spreadsheets with various back end databases. Other responsibilities include: Reconciling Fixed Income inventory accounts Working with Senior Analysts to ensure timely reporting of fixed income transactions Review, prepare and present regulatory report cards to management Reviewing processes for efficiencies and providing recommendations to management Requirements: Bachelor's degree Series 7 & 63 license preferred Working knowledge of fixed income products Exceptional oral and written communication skills and the ability to independently draft letters and other documents Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects Attention to detail Create and maintain positive relationships with other LPL departments and outside vendors for research purposes. Maintain a positive attitude toward routine daily reports Strong Microsoft Excel knowledge Bloomberg, BETA knowledge is strongly preferred Ability to obtain Series 24, 52, 53 & 57 within 6 months of hire #LI-PA Pay Range: $28.50-$47.51/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Telhio Credit Union invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. For decades, Telhio has been a strong financial institution that has served its members and community by providing extraordinary service and innovative financial solutions. Throughout our mission, we are guided by our three core values - caring, commitment, and integrity - which remain at the center of everything we do. This role will require the employee to work on-site at the local bank branch located in Columbus, OH. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements Delivering a high quality customer service experience during each customer interaction Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: High school diploma or equivalent (Bachelor's Degree Preferred) Minimum of two (2) years investment sales experience (preferably in a financial institution) Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: Demonstrated ability to sell products and services to investment clients; evidence of strong sales results Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space Excellent knowledge of investment/insurance products and financial planning Core Competencies: Strong self-motivation and ability to work independently Excellent verbal, written and interpersonal communication skills Possess strong organization skills Excellent customer service and business focus with a great attention to detail Effective research and analysis skills #LI-Onsite Pay Range: $58,500-70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

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 Role Overview: The Senior Analyst, Finance role will be a part of the Advisor Capital team within LPL's Finance Division. Advisor Capital is tasked with all aspects of providing LPL's advisors, enterprises, and institutions with pricing analytics and capital to support acquisitions, retention, and growth initiatives. You will be responsible for managing financial underwriting models, reporting, and ultimately providing analysis to support recommendations that help our business partners make informed decisions. The team is integrally involved in the support of retention and business case financial analysis. The ideal candidate has a combination of strong business acumen, corporate finance knowledge, and communication skills. Responsibilities: Working with AVP and SVP to create and maintain efficient processes Create, update, and support the development of financial related models to ensure they are accurate and periodically updated to reflect evolving business dynamics Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure Maintain and enhance internal controls, supporting Internal Audit and Compliance quarterly/annual testing Work closely with internal LPL departments like Relationship Management, Advisory Operations and Client Compensation on ad hoc projects, reporting, and initiatives Collaborate with management to ensure proper perspective is brought to decision-making Analyze reports and data to determine actionable business intelligence Handle escalations by both internal business partners and our Advisors Represent and advocate for Finance when working with business partners What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: Bachelor's degree in business, finance, or related field 4+ years of experience in corporate finance, operations, and/or business analytics Moderate to advanced Power Point, Excel, and financial modeling skills Experience analyzing, interpreting, and presenting data Preferences: Prior roles in FP&A, Treasury/Capital Management, Investment Banking/M&A, and Consulting Experience in financial analysis, data reporting, and development of business analytics Strong communication, analytical, strategic thinking, and problem-solving skills are needed Ability to prioritize while being efficient / accurate and produce quality on-time deliverables Ability to work both independently and collaboratively on a geographically dispersed team Excellent attention to detail and demonstrated ability to communicate analysis Self-motivated, willingness to take on challenges, and adaptability to support and adopt change Strong sense of personal accountability for work Focus on continuous improvement in all financial-related processes and operations Positive attitude, commitment to excellence and integrity Experience with tools such as: Tableau, Alteryx, Salesforce, Smartsheet Excel Macros Pay Range: $74,700-$124,500/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in Arroyo Grande, Atascadero, Morro Bay, Ventura, Camarillo, Goleta, or Orcutt, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements Delivering a high quality customer service experience during each customer interaction Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: High school diploma or equivalent (Bachelor's Degree Preferred) Minimum of two (2) years investment sales experience (preferably in a financial institution) Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: Demonstrated ability to sell products and services to investment clients; evidence of strong sales results Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space Excellent knowledge of investment/insurance products and financial planning Core Competencies: Strong self-motivation and ability to work independently Excellent verbal, written and interpersonal communication skills Possess strong organization skills Excellent customer service and business focus with a great attention to detail Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in Seaside, Salinas, Gonzales, or Hollister, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in El Cerrito, Walnut Creek, El Sobrante or North Berkeley, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in Arroyo Grande, Atascadero, Morro Bay, Ventura, Camarillo, Goleta, or Orcutt, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in Arroyo Grande, Atascadero, Morro Bay, Ventura, Camarillo, Goleta, or Orcutt, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients needs. This exciting opportunity at Mechanics Bank invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial. Rated in Forbes as one of America's Best Banks in 2024, Mechanics Banks proudly serves California, with branches reaching from the Imperial Valley to the Cascades, and from the coastal communities to the Sierra Nevada foothills. Dedicated to meeting the banking, lending, and wealth management needs of its clients, Mechanics Bank is deeply committed to giving back to communities across the Golden State. This role will require the employee to work on-site at the local bank branch located in Seaside, Salinas, Gonzales, or Hollister, California. Job Overview: A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches. Responsibilities: * Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate. * Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions * Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives. * Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements * Delivering a high quality customer service experience during each customer interaction * Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate * Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services. What are we looking for? We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement. Requirements: * High school diploma or equivalent (Bachelor's Degree Preferred) * Minimum of two (2) years investment sales experience (preferably in a financial institution) * Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66 * Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire) * Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer Preferences: * Demonstrated ability to sell products and services to investment clients; evidence of strong sales results * Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space * Excellent knowledge of investment/insurance products and financial planning Core Competencies: * Strong self-motivation and ability to work independently * Excellent verbal, written and interpersonal communication skills * Possess strong organization skills * Excellent customer service and business focus with a great attention to detail * Effective research and analysis skills #LI-Onsite Pay Range: $58,500-$70,000 per year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. This position is also eligible to earn sales incentive compensation. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? * Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! * Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! * Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! * Impactful Work: Our size is just right for you to make a real impact. Learn more here! * Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! * Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! * Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from ******************** email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at **************. EAC1.22.25

Under limited supervision, uses extensive knowledge and skills in securities, the banking industry, and/or compliance obtained through experience, specialized training and/or certification to implement Know Your Client ("KYC"), Customer Identification Program ("CIP"), Customer Due Diligence ("CDD"), Enhanced Due Diligence ("EDD"), as well as requirements in compliance and Anti-Money Laundering ("AML") rules and regulations. Leads projects of significant scope and complexity and serves as a Subject Matter Expert to various business lines. Works independently on difficult assignments that are broad in nature and provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, and resolve problems. **Responsibilities:** + Serves as the primary point of contact for business unit escalations, questions, and advisor issues. + Coaches and mentors new and existing analysts. + Devises and analyzes metrics, as well as prepares reports related to key measurements of AML customer onboarding activities. + Assists with various projects and acts as the main point of contact for outside consultants. + Serves as the primary back-up for the CIU Team Leads and provides informal guidance to CIU team members. + Prepares and leads AML CIU trainings for other business units within the firm. + Drafts and administers policies and procedures to ensure compliance with regulations related to money laundering included in the USA PATRIOT Act. + Monitors regulatory developments and industry trends to incorporate into the firm's AML program. + Develops documentation related to AML issues to enhance corporate policies. + Maintains knowledge of best practices in investigative research processes using various sources such as industry groups, information issued by regulatory groups, and the United States government. + Responds to regulatory inquiries and coordinates with other compliance personnel. + Maintains currency in laws and regulations pertaining to AML compliance. + Provides guidance to Raymond James Associates regarding AML policies. + Perform duties in a highly professional manner to address and resolve conflicts or issues to facilitate a positive working relationship between the field and home office. + Perform other duties and responsibilities as assigned. **Skills:** + CDD, EDD, Office of Foreign Asset Control ("OFAC"), Sanctions, and other KYC policies and procedures. + Concepts, practices, and procedures of the securities industry and/or banking compliance reviews. + Rules and regulations of the USA PATRIOT Act. + Fundamental investment concepts, practices, and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. + Administering AML policies and procedures. + Analyzing client documentation. + Planning and scheduling work to meet regulatory requirements. + Identifying and applying appropriate client monitoring procedures and tests. + Preparing oral and/or written reports. + Drafting policies and procedures. + Investigating client issues and irregularities. + Making rule-based and analytical decisions. + Operating standard office equipment and using required software applications. + Provide guidance to CIU Analysts. + Gather information, identify linkages and trends, and apply findings to assignments. + Interpret and apply AML regulations in order to identify and recommend compliance changes as appropriate. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Communicate effectively, both orally and in writing. + Independently research and resolve issues while working across teams to acquire information. + Work independently as well as collaboratively within a team environment. + Provide a high level of customer service. + Establish and maintain effective professional working relationships at all levels of the organization. + Handle highly confidential information professionally and with appropriate discretion. + Maintain currency in AML rules, regulations, and best practices. **Licenses/Certifications:** + CAMS is required or the ability to obtain within 18 months of employment or a designated time frame established by the manager. **Education** Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance, High School (HS) (Required) **Work Experience** General Experience - 7 to 12 months **Certifications** Certified Anti-Money Laundering Specialist (CAMS) - Association of Certified Anti-Money Laundering Specialists (ACAMS) **Salary Range** $70,000.00-$80,000.00 **Travel** Less than 25% **Workstyle** Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: - Grow professionally and inspire others to do the same - Work with and through others to achieve desired outcomes - Make prompt, pragmatic choices and act with the client in mind - Take ownership and hold themselves and others accountable for delivering results that matter - Contribute to the continuous evolution of the firm At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. \#LI-RO1