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ASK Research Associate Analyst

Job ID: R-019331 Date posted: 11/08/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

LPL Financial is the nation’s largest independent broker/dealer and fourth largest broker/dealer with more than 14,000 independent financial advisors in more than 4,000 branch offices nationwide.  LPL Financial has been ranked the number one broker/dealer in its class consistently over the past 10 years.  Financially strong and growing, its corporate offices are in Boston, San Diego, and Fort Mill, SC.

LPL Financial Research is a 50+ person team that provides market, investment, and portfolio advice to our independent advisors. Our mission is to be a trusted partner to our advisors who provide investors with choices to help meet their financial goals. In this endeavor, our sole motivation is to provide stellar due diligence and investment management advice — as a partner for those advisors who manage client assets themselves or as a portfolio manager for those advisors who want to leverage our experience. Due to the LPL Financial scale and position, our Research team has direct access to the best active managers in the industry. We combine this access with proprietary quantitative and technical research strategies to proactively invest for our advisors and their clients.


The Research Associate Analyst will provide outstanding customer service by assisting financial advisors and their staff with their Research-related inquiries.  This position is a key customer facing role and best suited for candidates with a strong service orientation.  The Research Associate Analyst will be focused on service items for about 80% of their role. This will consist of servicing of advisors primarily via email, updating items and interactions in systems, and tracking down more complex items that require support from other members of the Research team.  The remaining 20% will be spent assisting with a variety of research-related projects.

This individual should have the ability to research complex situations, define the actions necessary to resolve an inquiry, and see it through to a timely resolution.  The ideal candidate will have superior verbal and written communication skills, in conjunction with an ability to develop strong interpersonal relationships, both internally and externally.  The position requires the ability to work independently and as part of a team. The right candidate will demonstrate motivation, high-energy, flexibility, perseverance, attention to detail and a passion for financial services.


The Candidate will ideally possess the following competencies and attributes:

  • 1-3 years’ previous experience within the financial services industry;
  • Positive, customer-focused attitude and demeanor with desire to provide outstanding customer service;
  • Superior communications skills, both verbal and written;
  • Ability to cogently explain and discuss financial information to different audiences;
  • Ability to work in a results-oriented, fast-paced and growing environment, while establishing priorities and meeting goals
  • Unimpeachable ethical standards and a strong work ethic;
  • Desire to contribute to the success and growth of an organization;
  • Interest in continued development of analytics to measure effectiveness of team’s efforts;
  • Experience with Salesforce and Salesforce Marketing Cloud (formerly ExactTarget);
  • Proficiency in Microsoft Office Suite;
  • Financial industry or service-related certifications are a plus;
  • FINRA Series 7 and 63 strongly preferred (if not already held, passing exams to obtain licenses will be required soon after hiring);
  • A bachelor's degree and CFA candidate is strongly preferred.

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 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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