Complaint Analyst

Job Overview: 

We are looking for a dedicated and detail-oriented Operational Complaint Analyst to join our Early Dispute Resolution (“EDR”) Team.  EDR is the group within LPL’s Legal Department that is responsible for reviewing and resolving the customer complaints received by the organization. 

The Operational Complaint Analyst role will report to a Vice President, Associate Counsel within the EDR Group. The role will require frequent interaction with the firm’s compliance, operations, and supervision teams, as well as with our registered financial professionals and affiliated programs. The successful candidate will have a business-oriented approach and mindset in developing and delivering solutions. 

Responsibilities:

• Receive, review, and triage customer complaints related to operational issues within the organization.

• Conduct thorough investigations of operational complaints by gathering relevant data, engaging with stakeholders, and assessing operational processes.

• Collaborate with relevant departments (e.g., operations, compliance, customer service) to resolve complaints efficiently and effectively.

• Escalate complex complaints to EDR team management and/or specialized teams as necessary.

• Document and maintain accurate records of complaints, investigations, and resolutions.

• Identify opportunities for process improvements based on complaint analysis and customer feedback.

• Work with cross-functional teams to implement corrective actions and enhance operational processes to prevent future complaints.

• Ensure that complaint handling processes comply with relevant regulations and industry standards.

• Comply with FINRA’s regulatory reporting rules regarding customer complaints. 

What are we looking for?

The ideal candidate will be a strong collaborator who can deliver a world-class client experience.  We are looking for people who are client-focused, organized, thrive in a fast-paced environment, and are able to execute in a way that encourages creativity and continuous improvement. 

Requirements:

• 2+ years of experience in complaint management, operational analysis, or customer service within the financial industry.

• Strong analytical and problem-solving skills, with the ability to interpret complex data and make data-driven recommendations.

• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.

• Proficiency in using customer relationship management (CRM) software and Microsoft Office Suite.

• Strong interpersonal skills and an ability to interact with business and compliance partners across the firm.

Preferences:

• Bachelor’s degree from an accredited college or university.  A Bachelor’s degree in Business Administration, Finance, or a related field is a plus.

• Financial Industry licenses are a plus (e.g., Series 7, Series 64, etc.).

• Familiarity with FINRA, SEC and AML regulatory requirements.

#LI-PA

Pay Range:

$58,088-$96,813/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 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.

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