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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Associate Analyst, Client Compensation

Job ID: R-016293 Date posted: 07/09/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Our Associate Analyst in Client Compensation, Quality Assurance is a self-motivated, critical thinker who can prioritize workloads with minimal supervision. S/he is responsible for quality checking all aspects of commission processing and is able to identify risks and make recommendations to close the gap in the risks identified. The Associate Analyst is responsible for validating data and verifying that commission processing adheres to the guidelines and procedures for each item.

This role requires the demonstration of critical thinking from an analytical problem solver capable of examining processes from multiple angles to ensure accuracy.  The primary responsibility of the Associate Analyst is to review financial transactions across all areas of processing for accuracy, completeness, and the minimization of risk.

Essential Functions:

  • Complete ownership of assigned tasks, demonstrating a clear understanding of what each process is and why it’s being performed

  • Validate data and verify processing adheres to established guidelines and procedures

  • Assist with improving policies and procedures by questioning the effectiveness of existing processes, analyzing and implementing sound controls, identifying potential issues and risks, and making recommendations for improvements

  • Conduct presentations demonstrating a complete knowledge of each task performed/reviewed

  • Provide support for internal and external stakeholders, including Audit and Risk Mitigation teams

  • Create content for and deliver knowledge shares/training when required on trained tasks

  • Develop, review, update and maintain departmental SOPs and task-related job aids

  • Support departmental ad hoc projects

Desired Skills:

  • Excellent communication, organizational, and time management skills

  • Exceptional presentation skills

  • Ability to develop and maintain internal and external business relationships

  • Ability to perform tasks and meet deadlines in a collaborative team environment with minimal supervision

  • Self-driven with the capability to work in a fast-paced environment and adapt to changing priorities

  • Flexible and willing to work additional hours to accommodate business needs

  • Oracle, SharePoint, Siebel, BETA, Documentum, and Visio experience preferred


  • Bachelor’s degree or equivalent experience

  • 3+ years of securities or financial services industry experience preferred

  • 2+ years Quality Assurance experience

  • FINRA licensing a plus

  • Knowledgeable in process improvement methodology (Lean, Six Sigma)

  • Proficiency in the use of Microsoft (MS) Office with an advanced skill set in Excel for analyzing and pivoting data

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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