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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, Operations

Job ID: R-015780 Date posted: 06/30/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Client Reporting Associate Analyst monitors and analyzes data production files and processes necessary for statement, confirm, prospectus, letter production, and return mail processing. The Associate Analyst will also assist with reviewing daily exception reports and communicating to our print vendor the resolution of open issues. The ideal candidate will have a strong attention to detail, excellent verbal and written skills, and be a team player with a positive attitude. This candidate will need to work across the organization and be responsive to both internal and external clients.

The Client Reporting Associate Analyst will perform the following, but not limited to, functions.

  • Participate in mailing projects

  • Participate in the monthly statement production process, Beta Data review and Statement review

  • Participate in the Return Mail process including analysis and running data validation process

  • Assist with reviewing access queries and reports for data analysis of transmission files

  • Assist with review of Daily audit of print vendor volume to our books and records provider transmission files for daily and monthly mailings.

  • Download and parse CSV data files from our print vendor site using Excel and Access

  • Assist with reviewing and analyzing daily/monthly exception reports on statement, confirms, letter and prospectus delivery

  • Compile daily and monthly audit reports

  • Gather metrics and create reports to support trend analysis and RPMs

  • Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible and efficient infrastructure

  • Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements

  • Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments

  • Perform quality control and user acceptance testing

  • Help Supporting internal and external audit process

  • Participate in testing various projects impacting the team


  • Bachelor’s Degree in a related field preferred

  • 3-5 years of industry experience (preferably Statement Communications/Client Reporting) in Operations

  • Advanced MS Excel experience required

  • Advanced MS Access experience required

  • Strong analytical and problem solving skills with a keen attention to detail

  • Excellent verbal and written communication skills

  • Ability to perform under pressure to meet deadlines

  • Ability to work independently in a fast paced environment with multiple priorities

  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects

  • Strong customer service skills

  • Experience with Beta preferred

  • Adobe CS5, Photoshop, Acrobat, Illustrator experience preferred

  • SQL

  • FINRA Series 7, 63, and 24 preferred

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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