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Assoc. Analyst

Job ID: R-003934 Date posted: 07/31/2018 Primary Location SC-Fort Mill

Associate Analyst, Client Compensation Quality Assurance

Position Summary:

The Associate Analyst will support productivity and efficiency by driving improved reporting and data analysis efforts within the Client Compensation Quality Assurance team. The ideal candidate must demonstrating critical analysis, be an analytical problem solver capable of examining processes from multiple angles to ensure accuracy. This role is primarily responsible for the timely and accurate completion of reporting, supporting department projects, system enhancements and risk management/audit initiatives. In addition, this role will also be responsible for reviewing financial transactions across all areas of processing for completeness and accuracy.

Essential Functions:

  • Versatility to perform Level 4 Approval functions across varied QC accountabilities, while also having responsibility to manage internal business unit projects and/or projects yielding departmental interdependencies. 
  • Ensure accuracy of input / output data impacting individual/staff performance, productivity and service levels. 
  • Perform key role in quality process improvement initiatives or others as assigned for the benefit of continuous improvement milestones.
  • Assist with improving department policies and procedures by questioning the effectiveness of existing processes, analyzing and implementing sound controls, identifying potential issues and risks and making recommendations for improvements.
  • Provide support for audit initiatives, develop and maintain process narratives and workflow charts.
  • Assist with the team with meeting accuracy and productivity goals by serving as a secondary processing resource during heavy volume periods and as needed.

Desired Skills:

  • Advanced skills with Microsoft Excel, Access and PowerPoint
  • Excellent verbal and written communication skills
  • Team player and able to collaborate with peers and management
  • Flexible and willing to work additional hours to accommodate business needs
  • Able to prioritize and organize work to meet strict deadlines in a fast-paced environment
  • Highly self-motivated with the ability to perform complicated tasks with minimal supervision
  • Knowledge of Commissions, Billing, LPL reporting or technology products
  • Excellent problem solving, oral and written communication skills
  • Demonstrate proficiency in supporting business process improvements
  • Oracle, Documentum, Siebel and BETA experience preferred


  • 3+ years of financial services experience preferred
  • College Degree or equivalent experience
  • FINRA licensing not required but 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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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove