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Assoc Analyst, Compensation

Job ID: R-008895 Date posted: 03/19/2020 Primary Location CA-San Diego

The ideal candidate will have a solid understanding of the financial services industry with a proven success of self-starting in a dynamic fast-paced environment.  The Associate Analyst will lead task assignments related to facilitating the paying advisors commission and advisory fees.  They will regularly exercise excellent business judgment and quickly research and resolve departmental and data issues.  The Associate Analyst maintains operational procedures, assists with project testing, and develops new task efficiencies.

Essential Functions:

  • Must have the ability to communicate complex issues both in writing and verbally to management and internal/external vendors and customers. Must be able to provide oversight of existing processes and mitigate risk against future firm impact
  • Will function as a subject matter expert on operational policies and procedures with an emphasis on TAMP fee processing and payment reconciliations
  • Will coordinate with advisors and fund sponsors over emails and phone calls to drive solutions to advisor payout issues and corrections
  • Oversee the review, reconciliation, and supervisory control of data and provide detail-level analysis to external clients while meeting service level agreements
  • Document quality issues, performance measures, and quality improvements for management review
  • Ensure proper application of compliance regulations with internal and regulatory standards, guidelines and procedures
  • Collaborate with subject matter experts to obtain key job knowledge that will help meet the specific business needs. Research complex situations and define the actions necessary to resolve the situation
  • May be asked to support other tasks in the department as business needs dictate, including but not limited to working in a Strike Team capacity
  • Project testing and implementation
  • Reengineer existing processes for improved experience and accuracy
  • Demonstrate the ability to collaborate across the firm and in meetings
  • Coordination with internal and external team members to implement or support ongoing processes
  • Process change management including updating and maintaining department controls and procedures
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment
  • Ability to analyze information and strong reporting skills
  • Ability to handle escalated items timely and accurately, while creating a great experience for our customers.


  • 3+ years in the brokerage and financial services industry
  • Knowledgeable in Client Compensation processes
  • Strong knowledge with Excel, Word, Outlook, and PowerPoint
  • Working knowledge of SQL
  • Strong analytical and problem solving skills with a keen attention to detail
  • Excellent verbal and written communication skills
  • Ability to perform under pressure
  • Bachelor’s degree in Business related field or equal experience
  • Experience working with offshore vendors a plus
  • Strong customer service skills a plus
  • FINRA licensing a plus
  • Project coordination experience is a plus

Software/System Skills:

  • Microsoft Office Suite required; Comreg, BETA, and Documentum preferred

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 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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