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Due Diligence Analyst

Job ID: R-008641 Date posted: 01/28/2020 Primary Location SC-Fort Mill

About the Position

LPL Financial is seeking a professional with three to five years of financial services experience to join our team in Charlotte, NC. This individual will be responsible for the initial diligence and ongoing oversight of third-party investment strategies either recommended to or available for use by LPL Financial advisors.

LPL Financial Research is a 50+ person team that provides market, investment, and portfolio advice to our independent advisors. Our mission is to be a trusted partner to our advisors who provide investors with choices to help meet their financial goals. In this endeavor, our sole motivation is to provide stellar due diligence and investment management advice — as a partner for those advisors who manage client assets themselves or as a portfolio manager for those advisors who want to leverage our experience. Due to the LPL Financial scale and position, our Research team has direct access to the best active managers in the industry. We combine this access with proprietary quantitative and technical research strategies to proactively invest for our advisors and their clients.

Responsibilities

  • Perform investment manager due diligence and/or oversight on third party investment strategies.
  • Perform manager search, selection, and monitoring for your coverage area and collaborate with equity/fixed income working groups and the LPL Research investment committee.
  • Contribute investment ideas for centrally managed models.
  • Cogently communicate research and investment content both orally and written to different audiences, including investment managers, advisors, executive management, and clients.

Skills

  • Dedication to providing superior research.
  • Solid analytical skills, good judgment, and a high tolerance for change.
  • Ability to drive to results while being able to re-prioritize as needed.
  • Discipline, organization, flexibility.
  • Ability to set and meet hard deadlines.
  • Unimpeachable ethical standards, with an innate ability to build trust and strong relationships.
  • Ability to take initiative and follow through on projects independently as well as work as a leader of a team.

Characteristics

  • Self-motivation
  • High-energy
  • Attention to detail
  • A passion for investing
  • Tireless intellectual curiosity regarding markets, managers, and investments of all types

Education

  • Bachelor’s degree required; graduate degree preferred
  • CFA or progress in the CFA Program
  • 3-5 years of experience in the financial services industry, ideally in a broker/dealer
  • FINRA Series 7 and 66 license required (either have or be willing to obtain soon after hiring)

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.

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 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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  • Research, Fort Mill, South Carolina, United StatesRemove