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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 LPLFinancialHiring@lpl.com.
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Associate Analyst

Job ID: R-014693 Date posted: 04/29/2021 Primary Location SC-Fort Mill

The Client and Government Reporting team is comprised of cost basis and tax reporting functionalities. Under direct supervision, the associate analyst will conduct routine analysis and tests of various components of a quality control program comprised of data analysis, systems evaluation, and quality technology. Conducts analysis and tests of in-process and finished products to ensure conformity to quality metrics  and standards. This role requires the individual to have an understanding of operational processes (preferably cost basis and tax reporting), dependencies and control points.

Responsibilities Include:

  • Risk Management- the Associate Analyst will be responsible for daily reconciliations, managing error rates, exception review processing and daily reporting.  Other duties could also include policy and procedures reviews and presentations to the staff.
  • Process Analysis and Continue Improvement - The Associate Analyst will be responsible for continuously review process for improvements and consistency.
  • Technology and Systems Management - Handling departmental projects as well as coordinating and performing QA and User Acceptance Testing.
  • Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.      
  • Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients
  • Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions. 
  • Makes connections & offers creative recommendations on how to solve business challenges.
  • Assist with Audit reviews, collection of data and materials for regulators and/or Internal Audit.

Qualifications:

  • 2+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • Ability to work independently in a fast paced environment with multiple priorities
  • Ability to work with and communicate effectively to various levels throughout the organization.
  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
  • Bachelor Degree Preferred
  • Excellent verbal and written communication skills


Licenses/Certifications Preferred:

  • Series 7 preferred


Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
  • SQL


Soft Skills Required:

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

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 @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.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove