Analyst, Operations

Job Overview:

The Analyst in Account Transfers monitors and reports on operational controls and processes, as well as project scope, testing and oversight. The role analyzes operational processes, identifies and analyzes potential risk through statistical reports, and makes recommendations to reduce overall risk to the business. In addition, the Analyst assist managements with project scope, testing, and oversight and handling daily, weekly, and monthly statistical reports. This role also requires analysis of Account Transfers/Operational processes to make recommendations for efficiencies while providing outstanding service and acting as a resource to internal and external business partners.  

Responsibilities:

• Handling department projects including creation of new workflows, developing test scripts, performing QA and User Acceptance Testing, as well as overseeing all project deliverables.
• Building and delivering required department reports that consist of daily, weekly, monthly, and ad hoc requests; interpreting statistical reports to identify risks.   
• Researching system releases provided by BETA to assess impact to transfer processes; partnering with management to prepare and avoid any regulatory or service impacts. 
• Acting as a resource to the department and applying complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors.
• Ensuring proper application of and compliance with internal and regulatory standards, guidelines, and procedures.
• Evaluating potential risks and making recommendations to the Vice President to mitigate those risks through analysis, communication, and implementation of new processes and controls.
• Working with staff within BDSS departmental units to identify and understand all automated processes (macros), reports, and controls to be able to test them regularly to ensure effective operation.
• Creating trend reporting to ensure the department is operating as intended and addressing variances immediately.
• Assisting with Audit reviews, collection of data and materials for regulators and/or Internal Audit.
• Continually accessing and identifying new risk items within departmental processes.
• Examining and interpreting statistical reports to identify risks

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:

• Three to five years related to Account Transfers/Operations experience.

Core Competencies:

• Proficient in Microsoft Office Suite
• Intermediate to Advanced Excel skills
• Intermediate to Advanced Alteryx, SQL, Python, database/query skills
• Excellent oral and written communication skills
• Highly analytical with excellent research skills
• Ability to multitask with good time management skills
• Ability to operate independently and meet deadlines in a fast-paced environment with minimal oversight
• Thorough and detail-oriented with strong investigative skills and a proactive approach to solving and preventing problems

Preferences:

• FINRA Series 99
• Bachelor’s degree
• Project experience within an Operational environment preferred

Pay Range:

$25.35-$42.25/hour
 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 (855) 575-6947.

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