Sr. Analyst, Trading 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:

We are seeking a detail-oriented and proactive individual to join our Equity Trading Operations team as a Sr Analyst. In this role, you will be responsible for processing a high volume of equity trade correction request, ensuring timely and accurate resolution. Your primary focus will be reviewing and approving trade errors for processing, identifying potential areas for improvement, maintain knowledge of LPL processes and system platforms related to equity trading corrections and collaborating with senior level management on escalations. This role requires a strong understanding of equity trading and the ability to work efficiently and accurately in a fast-paced environment.

Responsibilities:

• Monitor and ensure adequate coverage of equity trading mailbox

• Assist in supporting the integration of new team members

• Participate in monthly calls with internal business units to identify trends and common themes

• Contribute to development and ongoing review of Operating and Supervisory Procedures

• Act as the primary point of contact for researching and resolving inquiries related to Equity trade corrections

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:

• FINRA Series 7, 63 or 65, 24 required

• FINRA Series 57 license required or obtained within 90 days

• 3-5 years of previous financial services experience

Preferences:

• Experience with BETA, ClientWorks, ServiceWorks

• Software/Systems Skills Preferred: MS Office, Advanced Excel and VBA macros

• Operates under minimal supervision

• Bachelor’s degree

• Critical thinker that identifies trends, anticipates possible risks and issues with strong judgment to escalate as needed

• Proven experience in the financial services industry with an emphasis on customer service and operational excellence

• Ensure compliance with regulatory requirements, anticipate - as well as adapt - to regulatory changes

• Ability to handle time sensitive, detail oriented processes

Pay Range:

$69,500.00 - $115,800.00

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.