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Associate Analyst, Finance (Advisor Capital)

Job ID: R-007977 Date posted: 01/09/2020 Primary Location CA-San Diego

The Analyst will be a part of the Advisor Capital team within LPL’s Finance Division.  This group is tasked with all aspects of providing capital to LPL’s advisors to assist in recruiting, acquisitions, succession planning and growth initiative. This includes underwriting, promissory note documentation, disbursement of capital, collections and monitoring/reporting. 

The ideal candidate will have superior attention to detail, effectively prioritize tasks, possess strong communication & analytical skills.  The ability to work well within a team, take initiative, show flexibility in an ever changing and highly regulated environment is also required.

Roles & Responsibilities:

  • Loan Document Creation and Fund Disbursement Processing (50% of time)
    • Responsible for managing the client experience for advisors when approved credits & loans are ready for documentation and disbursement (both new and existing advisors).
    • Adhere to all Internal Audit reviewed processes to ensure proper documentation, approvals, and disbursement requests are intact.
    • Support all LPL loan and line of credit programs to ensure a streamlined, efficient and effective process for deploying capital to our advisors.

  • Group Email Mailbox Monitoring and Response (30% of time)
    • Monitor the department shared email mailbox utilized by both employees and advisors. Respond in a timely manner.
    • Assume ownership of the inquiry and see it through with a timely resolution.
    • Utilize management for guidance while dealing with an escalation while keeping ownership.  Assist in the resolution of escalated issues.
    • Work closely with existing advisors to coordinate payment of balances.

  • Ad-hoc analysis, reporting, process improvement and decision support (20% of time)
    • Utilize Salesforce and LPL designed software for creating, running, analyzing and presenting performance and financial data.
    • Identify process/procedure enhancements that drive the business forward and promote change.
    • Collaborate with management to ensure proper perspective is brought to decision-making.
    • Provide feedback on processes and implement improvements as needed.


  • 1+ years minimum related experience required
  • Bachelor's degree in business, finance or related-field
  • High level of corporate financial analysis knowledge and problem solving skills
  • Analyzing, interpreting and presenting financial and operational results through the preparation of various reports
  • Ability to perform in a fast paced, high volume, dynamic environment
  • Acute attention to detail while working in a fast-paced high volume, dynamic environment
  • Analytical and problem-solving skills
  • Strong PC skills (emphasis on Excel . Financial Modeling, and  Salesforce reporting a plus)
  • Knowledge of product, industry and end investor
  • Knowledge of LPL platform, products and services a plus
  • Experience interacting with advisors and management a plus

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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