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Assoc Analyst, Operations

Job ID: R-001518 Date posted: 11/09/2017 Primary Location CA-San Diego


The ideal candidate will need a solid understanding of Commission Processing life cycle (From the id on-boarding process to payment generation). The associate analyst will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.  Person must be able to work in high stress environment in order to support delivery of Client Compensation projects and related department initiatives.


  • Data research and analysis for Legal and regulatory request.
  • Assist in creating process workflows and gather documentation for Internal Audit testing
  •  Interact regularly with user groups to identify and define business requirements; document using LPL standards
  • Assist Sr. Analysts with business requirements for work orders and projects
  • Participate in business requirement meetings and document requirements in LPL-standard formats
  • Engage in business process analysis and re-engineering, with an understanding of technical problems and solutions as they relate to the current and future business environment.
  • Gather and document business requirements and review functional specifications of technology solutions prepared by the technology organization to ensure they align with business requirements
  • Change Management of new processes, preparing and executing training and providing awareness to all the Client Compensation areas. 
  • Assist processors in identifying and analyzing gaps between current processes and the desired state.
  • Ensure that UAT is being conducted and backup is documented and stored in line with our control objectives
  • Leads and participates in value stream analysis, 5 Why’s analysis, brainstorming sessions, etc. to identify root causes of challenges identified
  • Designs or assists in design of new processes, develops process performance measures and plans the transition to a new process.
  • Facilitates discussions with business process owners to capture and analyze business and technical processes to formulate and develop new and modified business information processes with a combination of automated and manual solutions.
  • Demonstrated proficiency in leading business process improvements that deliver significant value
  • Ability to manage multiple ongoing engagements
  • Ability to build strong working relationships
  • Strong presentation and team facilitation skills


  • BA/BS in Business, preferred
  • Participated in large technology and/or process improvement efforts
  •  5 years financial services Industry experience required
  • Experience in a commissions/accounting department preferred
  • Strong leadership skills with proven ability to effectively lead cross-functional project teams
  • Exceptional ability to collect, analyze and interpret both qualitative and quantitative data
  • Proven ability to communicate and work with all levels of an organization
  • Strong skills and knowledge in project management tools and applications
  • High energy self-starter; must be able to take the initiative with minimal guidance and be comfortable working both as an individual and as part of a team

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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