Associate Analyst, OperationsApply Job ID: R-010087 Date posted: 05/15/2020 Primary Location SC-Fort Mill
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.
- 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.
- BETA releases – will research monthly and ad-hoc system releases provided by BETA (system vendor) to assess impact to transfer processes and partner with Management to prepare and avoid any regulatory and/or customer service impacts.
- 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
- 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.
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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.
*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.
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 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.