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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Analyst - Corporate Actions

Job ID: R-013389 Date posted: 03/29/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Corporate Action team comprises of; Mandatory & Voluntary Reorganizations, Dividends, Restricted Securities, Money Market and Proxy functionalities. This position will be responsible for reconciling reports, processing exceptions, facilitating requests from advisors, and supporting inbound and outbound phone inquiries. Additionally, while performing basic financial and/or regulatory functions, they will ensure compliance with all prescribed internal policies and regulatory practices. The ideal candidate will have excellent data entry skills (both numeric and alpha), is accurate, timely, and will be expected to; review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items. They will be a team player with a positive attitude, possess excellent time management skills, and work well in a fast paced environment with the ability to multi-task with multiple operational processes across various platforms.


  • Support day-to-day operations for Corporate Actions while adhering to established controls and procedures.
  • Identifying customers’ needs, clarify information, and performing research to provide solutions to inquiries.
  • Analytical skills to reconcile reports, exceptions, validation of transactions, as well as daily quality control, managing error rates, exception review processing and daily reporting. 
  • Review Reorganization events to summarize terms and key information in order to communicate with advisors.
  • Collaborate with other internal departments, as well as external partners to ensure prompt and accurate solutions.
  • Research and escalate allocation issues with our domestic and foreign depositaries.
  • Research restricted stock certificates with various 3rd parties including; Transfer Agents, Issuers, Legal Counsels and others to determine requirements and eligibility for restriction removals, re-registrations and Employee Stock Option transactions.
  • Thorough understanding of FINRA regulations including but not limited to; filing requirements, sales volume limitations, and various trading policies for insiders.
  • Answer inbound calls from the advisors and service teams. Research and process service requests that are created by our service teams and make outbound calls when follow up is required.
  • Effective communication with advisors and other operational groups to resolve various account discrepancies.
  • Be proactive and remain cognizant of deadlines and regulatory requirements.
  • Proactively recognizes issues, problems, and opportunities to identify when action is required.
  • Makes connections & offers creative recommendations on how to solve challenges.


  • 2+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management, preferably Corporate Actions.
  • Ability to work independently in a fast paced environment with multiple priorities while adhering to strict deadlines and policies.
  • Ability to partner and effectively communicate with various levels throughout the organization.
  • Ability to learn multiple aspects of the financial services industry and understand how it all connects.
  • Bachelor Degree Preferred.
  • Excellent verbal and written communication skills.
  • Team player with a positive attitude and an entrepreneurial mindset.
  • FINRA licenses a plus

Software/Systems Skills Required/Preferred:

  • All Microsoft office applications, particularly; Word, Access, Excel (VBA), and PowerPoint.
  • SQL Experience a plus
  • Refinitiv (Beta), DTCC PBS & CA Web, SS&C (DST) Vision, BART, eTran, XSPrisa

Soft Skills Required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities.
  • Strong attention to detail with a pro-active approach to solving and preventing problems.
  • Ability to work under pressure while managing deadlines across multiple priorities.
  • Ability to interact effectively with various levels of co-workers.
  • Strong time management, organizational skills and attention to detail.
  • Highly-motivated and able to adapt to changing priorities.
  • Ability to proactively identify, solve, and solution for issues and inefficiencies.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  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 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 (800) 877-7210.

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