Sr. Analyst, Trading (Series 7, 63, 24, & 57)

Job Overview:

We are seeking a detail-oriented and proactive individual to join our Equity Trading Operations team as a Sr Analyst. In this role, you will be responsible for processing a high volume of equity trade correction request, ensuring timely and accurate resolution. Your primary focus will be reviewing and approving trade errors for processing, identifying potential areas for improvement, maintain knowledge of LPL processes and system platforms related to equity trading corrections and collaborating with senior level management on escalations. This role requires a strong understanding of equity trading and the ability to work efficiently and accurately in a fast-paced environment.

Responsibilities:

• Monitor and ensure adequate coverage of equity trading mailbox

• Assist in supporting the integration of new team members

• Participate in monthly calls with internal business units to identify trends and common themes

• Contribute to development and ongoing review of Operating and Supervisory Procedures

• Act as the primary point of contact for researching and resolving inquiries related to Equity trade corrections

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:

• FINRA Series 7, 63 or 65, 24 required

• FINRA Series 57 license required or obtained within 90 days

• 3-5 years of previous financial services experience

Preferences:

• Experience with BETA, ClientWorks, ServiceWorks

• Software/Systems Skills Preferred: MS Office, Advanced Excel and VBA macros

• Operates under minimal supervision

• Bachelor’s degree

• Critical thinker that identifies trends, anticipates possible risks and issues with strong judgment to escalate as needed

• Proven experience in the financial services industry with an emphasis on customer service and operational excellence

• Ensure compliance with regulatory requirements, anticipate - as well as adapt - to regulatory changes

• Ability to handle time sensitive, detail oriented processes

Pay Range:

$69,488-$115,813/year
 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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