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Assoc. Analyst, Operations

Job ID: R-005629 Date posted: 06/26/2019 Primary Location CA-San Diego

The Corporate Action team comprises of dividends, reorg, money market, proxies, and restricted security functionalities. We are seeking a candidate, who has previous cash and bank product experience. The ideal candidate will need to aide in the design, implementation and ongoing support for cash and bank products. Have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements.  The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role. 

Responsibilities:

  • Manage cash and banking products, including collateral accounts, cash sweeps, credit cards, and check writing.
  • Reconcile and analyze reports
  • Deliver the best personal and relevant client experience possible through operational and service excellence to our advisors, internal and external partners
  • Support and contribute toward the successful execution of projects and initiatives that support LPL’s priorities
  • Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.
  • Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.
  • Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
  • Developing quality service standards and processes to create a consistent service experience
  • Handle escalations by both the Service Center and Advisors
  • Other assignments as required by Management

Qualifications:

  • 3-5 years of industry experience (preferably financial services) in Operations
  • Operational background – Specifically in cash and banking
  • Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
  • 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)


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

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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Area(s) of InterestChoose at least one job category and/or location.

  • Service and Operations, San Diego, California, United StatesRemove