Customer Service Jobs at LPL Financial with Visa Sponsorship
Customer Service roles at LPL Financial sit at the intersection of financial services and client relationship management, supporting advisors and investors across a highly regulated industry. LPL Financial has a documented history of sponsoring work visas for this function, making it a realistic target for international candidates building a U.S. career in financial services.
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Get Access To All JobsWhere Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Program Compliance Associate Analyst will support several functions within Program Compliance, including both the Compliance Education & Training and Senior Investor Protection teams. The Senior Investor Protection (SIP) team ensures that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. The Compliance Education & Training team supports all Firm Element training, as well as mandatory Compliance training throughout the year.
This analyst will be responsible for assisting with reporting, data gathering, incoming case entry and review, interacting with advisors to gather additional information for both Senior Investor and CET requests, and general team support.
Responsibilities:
- Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas
- Respond to advisors with additional state specific information, general information requests
- Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET
- Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed
- Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
- Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- Bachelor’s Degree and/or equivalent experience preferred
- Strong excel skills, experience with Smartsheet helpful
- Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful
- Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
Core Competencies:
- Critical thinking
- Time Management
- Decision Making
- Case Management
- Written and oral communication
- Presentation and reporting skills
Pay Range:
$24.02-$40.06/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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
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.
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
- Impactful Work: Our size is just right for you to make a real impact.
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
- Community Focus: We care for our communities and encourage our employees to do the same.
- 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.
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 an @lplfinancial.com 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 (855) 575-6947.
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Program Compliance Associate Analyst will support several functions within Program Compliance, including both the Compliance Education & Training and Senior Investor Protection teams. The Senior Investor Protection (SIP) team ensures that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. The Compliance Education & Training team supports all Firm Element training, as well as mandatory Compliance training throughout the year.
This analyst will be responsible for assisting with reporting, data gathering, incoming case entry and review, interacting with advisors to gather additional information for both Senior Investor and CET requests, and general team support.
Responsibilities:
- Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas
- Respond to advisors with additional state specific information, general information requests
- Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET
- Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed
- Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
- Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- Bachelor’s Degree and/or equivalent experience preferred
- Strong excel skills, experience with Smartsheet helpful
- Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful
- Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
Core Competencies:
- Critical thinking
- Time Management
- Decision Making
- Case Management
- Written and oral communication
- Presentation and reporting skills
Pay Range:
$24.02-$40.06/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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
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.
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
- Impactful Work: Our size is just right for you to make a real impact.
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
- Community Focus: We care for our communities and encourage our employees to do the same.
- 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.
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 an @lplfinancial.com 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 (855) 575-6947.
See all 37+ Customer Service at LPL Financial jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Customer Service at LPL Financial roles.
Get Access To All JobsTips for Finding Customer Service Jobs at LPL Financial Jobs
Frame your credentials in financial services terms
LPL Financial's customer service teams handle advisor support and investor inquiries, so position your experience around financial products, compliance-aware communication, or brokerage operations. Generic call center experience reads differently than client-facing work in investment or banking contexts.
Target LPL's advisor-facing service divisions first
Roles supporting independent financial advisors tend to require deeper product knowledge and carry stronger sponsorship precedent than consumer-facing tiers. Search for openings in advisor services, operations support, or wealth management client relations when browsing LPL's careers portal.
Obtain FINRA Series 7 or Series 63 early
Many of LPL Financial's customer service roles require or prefer FINRA licensing. Starting the licensing process before your job search signals readiness and removes a common pre-employment hurdle that can delay sponsorship timelines after an offer is extended.
Understand the H-1B cap timeline before your offer stage
LPL Financial sponsors H-1B visas, but cap-subject petitions must be registered in March for an October 1 start date. If you receive an offer outside that window, ask HR whether a cap-exempt filing pathway or a bridge arrangement applies to your situation.
Use Migrate Mate to filter LPL Financial openings by sponsorship history
Browse Customer Service roles at LPL Financial on Migrate Mate, which surfaces positions from employers with verified sponsorship activity. This lets you prioritize roles where sponsorship is already established practice rather than an open negotiation.
Clarify Green Card sponsorship timing during the offer negotiation
LPL Financial sponsors EB-2 and EB-3 green cards for some roles, but PERM labor certification timelines vary by position and backlog. Ask explicitly whether the role is PERM-eligible and what the typical internal process looks like before you sign an offer letter.
Customer Service at LPL Financial jobs are hiring across the US. Find yours.
Find Customer Service at LPL Financial JobsFrequently Asked Questions
Does LPL Financial sponsor H-1B visas for Customer Service roles?
Yes, LPL Financial sponsors H-1B visas and has done so for Customer Service positions within its financial services operations. Sponsorship for this function is documented through USCIS filings. Cap-subject petitions follow the standard April lottery registration and October 1 start date cycle, so your offer timing relative to that window matters significantly.
How do I apply for Customer Service jobs at LPL Financial?
Apply directly through LPL Financial's careers portal at lpl.com, where postings are organized by business division. Roles in advisor services and wealth management operations are the most relevant for customer service candidates with a financial services background. You can also browse LPL Financial's open positions on Migrate Mate to identify roles with active sponsorship history before applying.
Which visa types does LPL Financial commonly use for Customer Service positions?
LPL Financial sponsors H-1B visas for specialty occupation roles, including customer service positions tied to financial products and advisor support functions. For longer-term employment, the company also pursues EB-2 and EB-3 immigrant visa categories through the PERM labor certification process. The applicable category depends on the role's educational requirements and the candidate's qualifications.
What qualifications does LPL Financial expect for Customer Service roles?
LPL Financial typically expects a bachelor's degree for customer service roles that support financial advisors or institutional clients. FINRA licensing, particularly Series 7 or Series 63, is required or preferred for many positions. Experience in brokerage operations, wealth management platforms, or compliance-adjacent client communication strengthens an application considerably over general customer service backgrounds.
How long does the visa sponsorship process typically take for a Customer Service offer at LPL Financial?
For H-1B sponsorship, the process runs from USCIS registration in March through an October 1 start date if selected in the lottery, covering roughly six months from petition filing to approval with standard processing. PERM-based Green Card sponsorship involves a separate DOL labor certification stage that can take one to two years before the immigrant petition is filed, depending on the audit queue and role specifications.
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