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Assoc Analyst, Client & Government Reporting

Job ID: R-002415 Date posted: 03/06/2018 Primary Location CA-San Diego

Under direct supervision, the associate analyst will conduct routine analysis and tests of various components of a quality control program comprised of data analysis, systems evaluation, and quality technology. Conducts analysis and tests of in-process and finished products to ensure conformity to quality metrics  and standards. This role requires the individual to have an understanding of operational processes (preferably cost basis and tax reporting), dependencies and control points.

Responsibilities Include:

  • Risk Management- The Associate Analyst will be responsible for daily reconciliations, managing error rates, exception review processing and daily reporting.  Other duties could also include policy and procedures reviews and presentations to the staff.
  • Process Analysis and Continue Improvement - The Associate Analyst will be responsible for continuously review process for improvements and consistency.
  • Technology and Systems Management - Handling departmental projects as well as coordinating and performing QA and User Acceptance Testing.
  • Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.      
  • Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients
  • Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions. 
  • Makes connections & offers creative recommendations on how to solve business challenges.
  • Assist with Audit reviews, collection of data and materials for regulators and/or Internal Audit.


  • 2+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • 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)
  • SQL

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

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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