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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 LPLFinancialHiring@lplfinancial.com.
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Sr. Operations Specialist - Security Master

Job ID: R-019149 Date posted: 03/18/2022 Primary Location CA-San Diego

Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

Our Associate Analyst in Performance & Data Recon Security Master is a team expert responsible for providing unparalleled customer support for LPL’s mutual fund trade data.  Utilizing various tools and data sources, the Associate Analyst will be responsible for analyzing sponsor provided documentation such as the prospectus, translating and updating the trading database UI with the correct data and reviewing the quality of all mutual fund data inputs for accuracy and timeliness.  The Associate Analyst understands investment products and specializes in mutual funds and alternative investments.  The right candidate is curious, meticulous and inspired to learn.  The right candidate should also feel comfortable interfacing both internally and externally with cross-functional work groups such as Operations, Product Management, Trading and Risk Management.  This role requires the ability to feel comfortable working in an agile environment with competing priorities and tight deadlines.


Responsibilities:

  • Collaborate with team-members on multiple and possibly overlapping customer requests

  • Support customers by fielding escalations and providing explanations

  • Update mutual fund onboarding forms and ensure meticulous attention to detail

  • Create mutual fund availability lists and deliver to stakeholders

  • Review and validate industry announcements and resolve any resulting discrepancies

  • Collaborate effectively and efficiently with other business units to correct recurring issues

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor’s degree in Business, Finance, Economics or similar

  • 1+ years in the brokerage and financial services industry

  • Knowledgeable in a wide range of investments, including but not limited to; mutual funds, fixed income products, options, common stocks and annuities

  • Proficiency with Microsoft Excel

  • Working knowledge of Word, Outlook, Visio and PowerPoint

Core Competencies:

  • Strong customer service skills

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

  • Excellent verbal and written communication skills

  • Ability to perform under pressure in a team-oriented environment

Preferences:

  • FINRA licensing a plus

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 @lplfinancial.com 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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