AnalystApply Job ID: R-021397 Date posted: 05/11/2022 Primary Location CA-San Diego
Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
Stock Records takes the pulse of the clearing firm operations. This role will work on day to day reconciling, projects, problems and escalations.
What are we looking for?
The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills, and excellent verbal and written abilities. Candidate will be able to contribute positively to a team-focused environment, driving both growth and innovation.
Reconciliation reports run by uploading data and identifying issues to reconcile and fix.
Basic Access database knowledge to pull information from Books and Records system, BODs.
Creative excel analysis with Vlookup, countif and other excel formulas to look at data ad hoc.
Critical thinking and analysis.
Compliance and Risk assessment mind set.
Excel Skills: Vlookup, countif and other basic excel formulas
Work experience with mutual funds, equity, fixed income and alternative investments.
Ability to converse and communicate with Transfer Agents, Sponsors, financial services vendors like Broadridge, SS&C and Cognizant.
Audit and regulatory experience.
Ability to train and coach team members.
Excellent written and verbal communication
Exceptional Organizational skills and self motivation. Ability to organize and work on your own with some guidance.
Problem solving new issues.
Self-learner and self-motivated
Financial Services & Operations, or Advisor Client Services Experience
Excel comfort and experience with formulas
VBA and/or SQL
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.