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Analyst, Operations

Job ID: R-005629 Date posted: 06/10/2019 Primary Location CA-San Diego

The ideal candidate will need to be a team expert responsible for aiding in the design, implementation and ongoing support of new technology solutions for multiple firm or department level initiatives. Have a solid understanding of data analysis, Imaging function and process models, 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 analyst will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role. 

Essential Functions:

  • Support AVP/VP  on multiple and possibly overlapping projects
  • Root cause analysis of production and test environment issues
  • Alignment of Service, Trade, and Operations data quality initiatives for the purpose of accurate performance reporting
  • Work with multiple departments to identify and understand all automated processes (macros), reports, and controls to be able to test them regularly to ensure they operate effectively
  • Reporting that will be used to make strategic management decisions
  • Solution implementation with management direction
  • Update and maintain technical department procedures
  • Identification of defects through user acceptance testing
  • Create trend reporting to ensure the department is operating as intended and identify variances immediately to address any issues
  • Develop reports and procedures to audit critical processes and to confirm data integrity.
  • Coordinate, execute user testing and audit test results to ensure features are built as required.
  • 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
  • Work with internal departments for any communications to financial advisors, clients, or both


  • Bachelor’s degree in Business, Finance, Management Information Systems, Computer Science a plus or equivalent
  • 3+ years in the brokerage and financial services industry preferred
  • Series 7 FINRA licensing a plus
  • VBA development and data mining experience a plus
  • Strong analytical and problem solving skills with a keen attention to detail
  • Project coordination experience desired
  • Advanced MS Excel, Word, PowerPoint, SharePoint and Access skills
  • Excellent verbal and written communication skills
  • Ability to perform under pressure with competing deadlines
  • Experience with Documentum and Captiva Imaging Application a plus

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