Associate Analyst, Corporate Actions - Specialized Service Team

LPL Financial; Fort Mill (SC); On-site; USD 34,000 - 57,000; Full time

Job summary

LPL Financial in Fort Mill, SC seeks a Specialized Service Team (SST) Rep, Corporate Actions to support advisors and internal clients via phone and email. You will be the expert on corporate actions, policies, and tools to ensure transparent, timely service and accurate handling of inquiries.

Responsibilities include explaining actions to advisors, resolving complex issues, and maintaining accuracy while complying with regulatory standards in a fast-paced team environment.

Qualifications

• 3+ years of financial and/or brokerage industry experience, preferably in operations.
• Proficient in Microsoft applications, particularly Excel and Outlook.

Responsibilities

• Communicate directly with clients (Financial Advisors/Professionals) and home office employees by phone for up to 90 percent of the day.
• Research complex situations, set client expectations, and define the actions necessary to resolve inquiries.
• Educate clients on the use of Corporate Action department specific technology to monitor, maintain, and service their operational needs.
• Provide accurate and timely information regarding high-risk Corporate Action events to ensure successful client utilization of the Corporate Action Tool.
• Communicate operational and financial industry policies and procedures.
• Own inquiries and see them through to a timely resolution.
• Adhere to compliance/risk procedures and maintain focus on investors’ best interest.
• Complete operational tasks including data input and request processing.
• Communicate with internal colleagues to meet client expectations for accurate and timely service delivery.
• Participate in training to stay current with policies and procedures.
• Drive customer experience to high levels of satisfaction by adhering to corporate values.

Skills

Excel

Customer service

Education

BA/BS (or equivalent work experience)

Tools

Outlook

CRM systems

Job description

The primary role of the Specialized Service Team (SST) Rep, Corporate Actions will be supporting the department's phone queue, developing strong relationships with our professional clients by offering an outstanding service experience and support. Performing in a team environment, the SST Rep is expected to provide subject matter expertise on department technologies, policies, practices, and initiatives to create transparency, understanding and expectations for our clients and colleagues across LPL. Topics covered by the SST Rep include, but are not limited to; Reorganizations, Dividends, ESOPs, Restricted Securities, Cash Sweeps, and Securities-Based Lending. You will handle inbound calls and team mailboxes to support inquiries from advisors, internal and external parties. This role is advisor-facing so strong interpersonal and communication skills (written and verbal) is needed to be effective in the role.

Responsibilities

• Communicating directly with our clients (Financial Advisors/Professionals) and home office employees by phone for up to 90 percent of your day.
• Research complex situations, set client expectations, and define the actions necessary to resolve inquiries.
• Educate clients on the use of Corporate Action department specific technology to monitor, maintain, and service their operational needs.
• Provide accurate and timely information regarding high-risk Corporate Action events to ensure successful client utilization of the Corporate Action Tool.
• Communicate operational and financial industry policies and procedures.
• Assume ownership of inquiries and see them through to a timely resolution.
• Adhere to compliance/risk procedures and exhibit detailed attention to policies while maintaining focus on investors’ best interest.
• Complete operational tasks including data input and request processing.
• Communicate with internal colleagues within the department to ensure we meet our clients’ expectations for accurate and timely service delivery.
• Actively participate in training to remain current with operational policies and procedures.
• Drive customer experience to high levels of satisfaction by adhering to our corporate values.

Requirements

• 3 years plus of financial and/or brokerage industry experience, preferably in operations
• Proficient in Microsoft applications, particularly Excel and Outlook

Core Competencies

• Excellent problem-solving skills, strong attention to detail, ability to analyze data, draw insights, and make data-driven decisions.
• Ability to multi-task various functions and assignments with competing priorities, changing demands, and tight deadlines.
• Effective and proactive communicator with strong written and verbal communication skills in dealing with advisors, internal and external parties, vendors, and different levels of management.
• Ability to execute strategies and track successful delivery.
• Positive attitude with a commitment to excellence and integrity.

Preferences

• BA/BS (or equivalent work experience)
• FINRA SIE, 99 or 7 licenses preferred

Pay Range

$24.71-$41.15/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(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com.

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.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. 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 [phone].