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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@lplfinancial.com.
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Senior Analyst - CARE Operations

Job ID: R-020667 Date posted: 01/13/2022 Primary Location SC-Fort Mill

Position Summary:

The Senior Analyst will support Management with oversight and support of analyst team within the department. This role requires the individual to have a deep understanding of operational processes, dependencies and control points and well as working knowledge of Lean Six Sigma and process improvements, providing outstanding service and acting liaison as a resource to internal and external business partners. 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.

Essential Functions:

  • Act as UAT test lead for department, coordinate testing efforts, attend meetings with tech to understand test scenarios and explain/oversee testing initiatives with the UAT test team.
  • Troubleshoot and provide assistance to technology and business regarding system issues occurring within Account Transfers, communicating issue and resolution to interested parties.
  • Statistical Reporting – Senior Analyst will assist analyst team in oversight of and building and delivering 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 CARE 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
  • Assist analysts in creating 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

Qualifications:

  • Bachelor's degree preferred with at least three to five years related to Account Transfers/Operations experience.
  • Project experience within an Operational environment preferred
  • Preferred experience with Miro, Jira, LeanKit, Tableau, Smartsheets, Aha!, BETA
  • 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
  • Trusted to work with stakeholders at all levels
  • Agile experience/mindset

Licenses/Certifications: Series 7, 99 Preferred

Software/Systems Skills:  Microsoft Office Suite required; Moderate to Advanced skills in Excel and working knowledge of Tableau 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.

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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 @lplfinancial.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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