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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 LPLFinancialHiring@lpl.com.
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Analyst, Operations

Job ID: R-011875 Date posted: 11/18/2020 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Client and Government Reporting team comprises of cost basis and tax reporting functionalities. The tax reporting component ensures that all Internal Revenue Service (IRS) client tax reporting forms are issued and mailed in an accurate and timely manner.  The cost basis component is responsible for the receipt, maintenance and delivery of tax lots used to calculate cost basis.

Responsibilities:

  • Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.
  • Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
  • Deliver the best personal and relevant client experience possible through operational and service excellence delivery and demonstration of sound business and financial management practices
  • Developing quality service standards and processes to create a consistent service experience
  • Risk Management- responsible for daily reconciliations, managing error rates, exception review processing and daily reporting.  Other duties could also include policy and procedures reviews and presentations to the staff.
  • Technology and Systems Management - Handling departmental projects as well as coordinating and performing QA and User Acceptance Testing.
  • Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.      
  • Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients
  • Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions. 
  • Makes connections & offers creative recommendations on how to solve business challenges.

Qualifications:

  • 2+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • Ability to work independently in a fast paced environment with multiple priorities
  • Ability to work with and communicate effectively to 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


Licenses/Certifications Preferred:

  • Series 7 preferred


Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
  • SQL


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/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

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 @lpl.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 (800) 877-7210.

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