Abdullahi Ali
Summary
Compliance and advisor-support specialist with strong experience at LPL Financial assisting 100+ advisors across onboarding, documentation workflows, regulatory reviews, and operational transition support. Skilled in guiding advisors through complex processes, providing training, improving workflow accuracy, and collaborating with cross-functional partners to deliver a smooth transition experience. Seeking to leverage these strengths in the Transition Support Partner LET role to support advisor transitions, training, and ClientWorks onboarding.
Overview
6
6
years of professional experience
1
1
Certification
Work History
Compliance Specialist
LPL Financial
12.2023 - Current
- Ensured compliance with regulatory and internal standards across all customer interactions.
- Managed escalations and provided high-level problem resolution—translating directly to advisor support and issue management.
- Analyzed service trends to develop process improvements that increased accuracy and efficiency.Primary liaison for 100+ financial advisors, supporting compliance and process improvement
- Review and approve advisor marketing materials for regulatory compliance, including materials related to equities, mutual funds, and fixed-income products.
- Support advisor marketing outreach initiatives, providing guidance on campaigns and ensuring compliance alignment.
- Partner with internal teams to identify top-performing advisors, provide transition guidance, and support practice growth initiatives.
- Collaborate with Compliance, Legal, Risk, Operations, and Technology departments to resolve issues and streamline processes.
- Analyzed trends in advisor issues to identify systemic improvements and drive operational efficiency.
Service Lead
Charter Communications (Spectrum)
07.2021 - 10.2023
- Led a team of 10+ representatives and improved resolution time by 20% through optimized workflows and coaching.
- Ensured compliance with regulatory and internal standards across all customer interactions.
- Managed escalations and provided high-level problem resolution—translating directly to advisor support and issue management.
- Analyzed service trends to develop process improvements that increased accuracy and efficiency.
Service Representative
Cox Communications
09.2019 - 06.2021
- Handled 50–100 client interactions daily with a focus on service accuracy, documentation, and compliance.
- Maintained detailed CRM notes and prepared audit-ready documentation for every interaction.
- Identified recurring customer pain points and proposed solutions to improve operational efficiency and customer satisfaction.
Education
Bachelor of Arts - Economics
San Diego State University
San Diego1 2022
Associate of Arts - Economics
San Diego Mesa College
1 2020
Skills
- Advisor Onboarding & Support
- ClientWorks & LPL Digital Platforms
- Compliance & Regulatory Review
- Documentation & Workflow Guidance
- Advisor Training & Communication
- Issue Resolution & Cross-Functional Collaboration
- Process Optimization
- Salesforce & CRM Management
- Relationship Building & Client Experience
Certification
- FINRA SIE
- FINRA Series 7
- Actively pursuing additional licenses: Series 63/66
Timeline
Compliance Specialist
LPL Financial
12.2023 - Current
Service Lead
Charter Communications (Spectrum)
07.2021 - 10.2023
Service Representative
Cox Communications
09.2019 - 06.2021
Bachelor of Arts - Economics
San Diego State University
Associate of Arts - Economics
San Diego Mesa College