Associate Data Analyst, Operations

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 an innovative team that builds products which are transforming the organization? If so, LPL Financial is the place 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.

Excited to learn more? If so, then this could be the role for you! 

Job Overview:

Client Reporting ­(Statements Communications) is part of LPL’s Operations. The department is responsible for regulatory mailings such as Trade Confirmations, Prospectus, Monthly/Quarterly Statements, and Client Letters. Additional ­processes include Return Mail and DBA (Doing Business AS) Statement Logos. Client Reporting works closely with various LPL departments involved in the monthly statement review process, as well as those responsible for operational mailings.

The Associate Analyst will play a highly visible role on the Client Reporting team. You will be responsible for executing on daily, weekly, and monthly process tasks such as but not limited to file transmission to vendor(s), analysis, and data validation, performing test scripts for UAT (User Acceptance Test) testing, and reporting.

Responsibilities:

• Assuming ownership of intermediate to complex situations, set expectations, and take appropriate actions to resolve inquiries in a timely manner.

• Provide support to UAT (User Acceptance test) testing and readiness efforts.

• Participate in implementing business requirements and user stories for projects on existing and/or new products.

• Assist with reviewing and analyzing daily/monthly exception reports on statement, confirms, letter and prospectus delivery.

• Assist with internal and external audit requests.

• Review departmental processes to identify areas of opportunities to improve risk oversight, increase efficiency, and ensure consistency of products offered to Advisors and Clients.

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 can execute in a way that encourages creativity and continuous improvement.

Requirements:

• 2+ years of professional business experience

• Financial services experience

• Intermediate to Advance with MS Excel including pivot tables and complex logic-based formulas.

Core Competencies:

• Solid problem-solving skills that enable efficient identification of issues and the execution of robust quantitative analysis to answer business questions.

• Ability to manage multiple priorities.

• Strong communicator with excellent written and verbal communication skills.

• Ability to work independently with minimal supervision.

Preferences:

• Bachelor’s degree in finance or related field with 2+ years relevant experience in financial services or related field.

• Knowledge in SQL, or other scripting language

• Demonstrated knowledge of the financial services industry and LPL platforms, products, and services.

• Lean Six Sigma Yellow Belt, Design Thinking, or Agile-Scrum Methodology

• FINRA Securities Industry Essentials (SIE) and/or Series 99

• Knowledge of Microsoft Dynamics

Pay Range:

$20.23-$33.71/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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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.