Assoc Analyst, Operations

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Overview:

The Associate Analyst will play a key role within the Client Reporting (Statements Communications) team, part of LPL’s Operations. This team is responsible for managing regulatory mailings including Trade Confirmations, Prospectuses, Monthly/Quarterly Statements, and Client Letters. Additional responsibilities include handling Return Mail and DBA (Doing Business As) Statement Logos. The role involves collaboration across departments to ensure accurate and timely delivery of client communications.

Key Responsibilities:

• Execute daily, weekly, and monthly operational tasks such as file transmissions to vendors, data validation, and reporting.
• Perform test scripts and support User Acceptance Testing (UAT) for statement-related systems and enhancements.
• Analyze exception reports related to statement, confirmation, letter, and prospectus delivery.
• Support internal and external audit requests with accurate documentation and data.
• Review and improve departmental processes to enhance risk oversight, operational efficiency, and consistency in client communications.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Minimum of 2 years of professional experience in business operations or financial services.
• Experience with SQL or similar scripting languages.
• Intermediate to advanced skills in Microsoft Excel, including pivot tables and complex formulas.

Core Competencies:

• Strong problem-solving and analytical skills.
• Ability to manage multiple priorities effectively.
• Excellent written and verbal communication.
• Self-motivated and capable of working independently.

Preferred Qualifications:

• Bachelor’s degree in Finance or related field.
• Experience with Lean Six Sigma, Design Thinking, or Agile-Scrum methodologies.
• FINRA Securities Industry Essentials (SIE) and/or Series 99 certification.
• Experience working with large data sets.

 

Pay Range:

$21.81-$36.36/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) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.

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.

For further information about LPL, please visit www.lpl.com.

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