Analyst, Operations – Client Reporting

Job Overview:

Client Reporting (Statements Communications) is part of LPL’s Operations. The department is responsible for regulatory mailings such as Trade Confirmations, Prospectus, Monthly/Quarterly Statements, and Client Letters. Additional processes include Return Mail and DBA (Doing Business AS) Statement Logos. Client Reporting works closely with various LPL departments involved in the monthly statement review process, as well as those responsible for operational mailings.

The Analyst will play a high visible role on the Client Reporting team. You will be responsible for interpreting and implementing regulatory rule modifications to new and existing products, execute test scripts for UAT (User Acceptance Test) testing, and complete daily/weekly/monthly reporting.

Responsibilities:

• Assuming ownership of complex situations, set expectations, and take appropriate actions to resolve inquiries in a timely manner.

• Using data analysis to help develop a more proactive and anticipatory approach to risk management by identifying areas for improvement, creating frameworks, and providing structured support to business owners.

• Provide support to UAT (User Acceptance test) testing and readiness efforts.

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

• Assist with internal and external audit process walkthroughs and requests.

• Assist on escalation management, being able to suggest solutions.

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 can execute in a way that encourages creativity and continuous improvement.

Required Qualifications:

• 3+ years of professional business experience; demonstrated knowledge of the financial services industry, products, and services.

• Intermediate level of experience with Excel & Powerpoint

Desirable:

• Knowledge in SQL, or other scripting language.

• Experience with database concepts and can write queries.

• Experience with UAT testing

Core Competencies:

• Exceptional problem-solving skills that enable efficient identification of issues and the execution of robust quantitative analysis to answer business questions.

• Ability to manage multiple priorities.

• Ability to drive change and communicate the why behind new initiatives to all stakeholders.

• Strong communicator with excellent written and verbal communication skills.

• Ability to work collaboratively as a team player and build good rapport with teams.

• Ability to work independently with minimal supervision.

Preferences:

• Lean Six Sigma Yellow or Green Belt, Design Thinking, or Agile-Scrum Methodology

• Operations experience with broker/dealer

• FINRA Securities Industry Essentials (SIE) and Series 99

Pay Range:

$23.89-$39.81/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.

EAC1.22.25