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Job ID: R-003727 Date posted: 07/09/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill


The Analyst will be a part of the Advisor Capital & Contract Accommodations team within LPL’s Finance Division.  Advisor Capital is tasked with all aspects of providing capital to LPL’s advisors to assist in recruiting, acquisitions, retention and growth initiatives.  This includes financial analysis, underwriting, note drafting, disbursement of capital, collections and monitoring/reporting.  Contract Accommodations provides internal support to review, monitor and track advisor pricing decisions.  

Strong communication, analytical, strategic thinking and problem-solving skills are needed, along with the ability to be flexible, effectively prioritize and multi-task.  The ability to work within a team, take initiative and show strong attention to detail is also a requirement.

Roles & Responsibilities:

  • Production and Asset Analysis.  Underwriting (25%)
    • Review, interpret and verify prospective advisor prior firm financial statements
    • Work closely with internal LPL departments and prospective advisors to determine, document and approve prior firm production
    • Provide reporting and analysis to internal LPL departments and senior management as requested
    • Underwriting as it pertains to all forms of capital outlay for new and existing advisors

  • Credit and Loan Processing (25%)
    • Responsible for managing the client experience for advisors when approved credits and loans are ready for documentation and disbursement
    • Adhere to all policies and procedures to ensure proper documentation, approvals and disbursement requests are in good order
    • Support all LPL loan programs and ensure a streamlined, efficient and effective process for deploying capital to our advisors to assist in growing their business

  • Contract Accommodations (25%)
    • Act as a liaison between multiple LPL departments to ensure all contract accommodations are accurately documented and tracked appropriately
    • Able to determine correct classification of the type of credit and whether it falls in or out of scope of an accommodation
    • Develop knowledge of LPL’s various pricing models, advisor economics and drivers of firm profitability

  • Ad-hoc analysis, reporting and process improvement (25%)
    • Various reporting and analysis conducted on all aspects of the department including Accounts Receivables and Bad Debt
    • Collaborate with management to ensure proper perspective is brought to decision-making
    • Provide feedback on processes, present and implement enhancements as needed
    • Perform other related projects as assigned


  • Bachelor's degree in business, finance or related-field
  • High level of analytical skills and problem-solving
  • Strong PC skills (emphasis on Excel. Salesforce reporting a plus)
  • Analyzing and interpreting financial and operational results of targets through the preparation of various reports
  • Decision making, presentation and communication skills
  • Ability to perform in a fast paced, high volume, dynamic environment
  • Basic knowledge of product, the industry and end investor
  • Demonstrated knowledge of LPL platform, products and services a plus
  • Experience interacting with advisors and management a plus
  • FINRA Series 7/63 a plus

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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