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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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Abandoned Property Assoc Analyst, Operations

Job ID: R-015801 Date posted: 10/21/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Abandoned Property Associate with be responsible for leading the firms abandoned property and escheatment process. The ideal candidate will possess strong communication, time management, organizational, and analytical skills with a good eye for identifying and understanding firm risk and regulatory guidelines.  Additionally, the Lead will assist management with coordinating with both internal and external individuals representing different departments, customers, vendors, and regulators.

The Supervisor will be asked to assist the Margin Department Management with the daily supervision and maintenance of items not limited to margin call activity, debit balances, and trade-related items within LPL Financial accounts according to firm and regulatory guidelines.  Ideal candidate will possess strong communication, time management, organizational, and analytical skills with a good eye for identifying and understanding firm risk and regulatory guidelines.  The Supervisor will be asked to assist management in the supervision and development of a team of Specialists and Senior Specialists which includes but is not limited to the evaluation of individual performance.  Additionally, the Supervisor will assist management with the creation and review of various risk-based reports, handle escalated issues, monitor service level agreements (SLA’s) and participate in department projects.

Daily interaction with LPL Financial Advisors, Department Management, as well as various departments within Operations at both the Specialist and Management level. The candidate must work well in a deadline-driven environment and be asked to enforce firm and regulatory requirements with advisors and will be expected to work independently and as a part of a team.  Various projects responsibilities require will require good strong organizational and analytical skills.  The individual must also be detail-0oriented and review of large amounts of data to ensure accuracy. 

Essential Functions:

  • Responsibilities include the creation, review, and enforcement of various firm and regulatory reports risk-based reports to ensure daily work is getting completed accordingly. 

  • Work with a team of Specialists to ensure the communication and reconciliation of items such as margin calls, debit balances, and trade-related items are completed

  • The Supervisorassociate will be required to apply critical thinking and anticipate both current and future needs will be responsible for supervising the daily responsibilities of the team which include assessing and evaluating volumes and re-allocating resources as necessary which may include stepping in and processing whenever necessary to ensure service level agreements are met

  • The Supervisorindividual will possess strong communication skills in order to develop and lead a project plan across various groups. will assist management with conducting training and development meetings, evaluating team members performance, and provide recommendations to management on various management related items

  • Assist Management in the completion of various projects at the firm and department level Proficient in technical systems including MS Excel, MS Access, and SQL (preferred)

  • Effective communication with advisors and other operational groups to resolve advisor/client escalations from team members

  • Assess and provide recommendations to management on potential policy and procedures enhancements for the benefit of the department and the firm

  • Assist management with the compiling and review of various firm and regulatory audit requests

  • Possess strong knowledge of the brokerage industry

Qualifications:

  • Bachelor’s degree, preferably in Finance or related field

  • Minimum 2 years experience general brokerage industry knowledge

  • Series 7/66 SIE licenses preferred

  • Proficient with Microsoft Excel and Access (SQL preferred)

  • The ability to work in a cross-functional team and multi-task in a fast-paced deadline-driven environment

  • The ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk

  • Strong communication skills, both written and oral, and willingness to speak up, talk to advisors and stakeholders

  • Strong analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives

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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