Skip Navigation
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
Search LPL Jobs

Search LPL Jobs

View All Current Opportunities at LPL Financial

Associate Analyst, Account Transfers (Flex team)

Job ID: R-018838 Date posted: 11/22/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Job Description:

The Associate Analyst will assist Management with monitoring and reporting on operational controls and processes. This role requires the individual to have a deep understanding of operational processes, dependencies and control points. The role also requires analysis of Operational processes and makes recommendations to reduce overall risk.

In addition, will assist management with project scope, testing and oversight and handling daily, weekly and monthly statistical reports.  The ideal candidate is forward thinking, project oriented, and highly analytical with strong attention to detail, excellent verbal and written skills and a team player with a positive attitude.

This role also requires analysis of Account Transfers/Operational processes to make recommendations for efficiencies while providing outstanding service and acting as a resource to internal and external business partners. Additional functions of this role would include daily, hands-on supervision, problem-solving, and training support to their respective team and department required processes to include vendor partner support and analysis as required, as well as review and monitoring daily workflow in various processes according to established policies, procedures, and service levels. 

Essential Functions:
•    Project Experience – handling department projects including creation of new workflows, developing test scripts, performing QA and User Acceptance Testing as well as oversight of all project deliverables.
•    Statistical Reporting – Analyst will build and deliver required department reports that consist of daily, weekly, monthly and ad hoc requests.     
•    Acts as a resource to the department and be able to apply complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors
•    Ensures proper application of and compliance with internal and regulatory standards, guidelines and procedures.
•    Evaluating the likelihood of risks and make recommendations to the Vice President to mitigate those risks through analysis, communication and implementation of new processes and controls.
•    Working with staff within STO departmental units to identify and understand all automated processes (macros),reports and controls to be able to test them regularly to ensure they operate effectively
•    Create trend reporting to ensure the department is operating as intended and identify variances immediately to address any issues
•    Assist with Audit reviews, collection of data and materials for regulators and/or Internal Audit.
•    Continually access and identify new risk items within departmental processes
•    Examine and interpret statistical reports to identify risks
•    Review, evaluate and monitor the quality of work as measured against accuracy, timeliness, and productivity standards to include vendor process activity and across multiple sites as required. Allocate work amongst the processing team to ensure daily, weekly, and monthly service level expectations are being attained.
•    Provide timely coaching to appropriate vendor partners related to processing, problem resolution, daily reconciliation, and customer service approaches.

•    Bachelor's degree preferred with at least three to five years related to Account Transfers/Operations experience.
•    Project experience within an Operational environment preferred
•    Excellent oral and written communication skills
•    Highly analytical with excellent research skills
•    Ability to meet deadlines in a fast paced environment
•    Ability to multitask with good time management skills
•    Ability to operate with minimal to no supervision
•    Thorough and detail-oriented with strong investigative skills
Licenses/Certifications: Series 7, 99, 66 (or S63 & S65), 24 Preferred
Software/Systems Skills:  Microsoft Office Suite required; Moderate to Advanced skills in Excel and working knowledge of Access is Preferred.  BETA, Documentum and HP Quality Center experience 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.

    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.

    Sign Up for LPL's Talent Community

    If you’d like to receive recruiter outreach, news and information from LPL Financial, as well as details on current opportunities that match your preferences and interests, please sign up below.

    Area(s) of InterestSelect a job category from the list of options. Search for a location and select one from the list of suggestions. Finally, click “Add” to create your job alert.

    • Service and Operations, Fort Mill, South Carolina, United StatesRemove
    • Service and Operations, San Diego, California, United StatesRemove