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Associate Analyst

Job ID: R-016432 Date posted: 08/20/2021 Primary Location SC-Fort Mill

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Excited to learn more? If so, then this could be the role for you!  

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Description – Associate Analyst – eDiscovery

The Associate Analyst position is a critical role within the eDiscovery team.  The position will be located in our Fort Mill office and will report to the Senior Analyst of the eDiscovery Collections team.  The eDiscovery Collections team provides discovery support to the Litigation and Arbitration (“Lit/Arb”) team.  eDiscovery Collections provides assistance with identifying and collecting relevant data, tracking process and repository changes, and collaborating with data owners across LPL to improve internal processes.

The ability to navigate numerous databases, platforms, and repositories is critical.  A successful candidate will be highly detail-oriented, diligent, and thoughtful in their collection approach.  This role requires regular interaction with inter/cross-departmental groups so collaboration with various groups will be important.  Partner groups include Supervision, Surveillance, and Branch Exams, among others.

Key Responsibilities Include:

•            Support Lit/Arb with data requests and other collection procedures.

•            Completing collections activities within a specified SLA.

•            Identifying gaps in relevant data.

•            Collaborating with internal partners on data retention practices.

Qualifications Include:

•            Relevant experience or education is required – either 1) a college degree, or 2) four years of financial services experience (Current FINRA licensure is helpful but not required).

•            Excellent organizational skills and ability to prioritize multiple simultaneous requests.

•            Experience with financial databases or programs such as Documentum, Actimize, Oracle, ClientWorks, Compliance Max, etc.

•            Excellent written and oral communication skills.

•            Financial services certifications (e.g. SIE, Series 7) are helpful but not required.

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.

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