Associate Analyst, Corporate Actions - Specialized Service Team

LPL Financial LLC; Tempe (AZ); On-site; USD 70,805,000 - 117,912,000; Full time

Job summary

LPL Financial LLC is seeking a Specialized Service Team Rep in Corporate Actions to support professional clients, handle inquiries, and provide subject-matter expertise on department policies and tools. You will interact with financial advisors and home office staff, ensuring accurate, timely service and adherence to compliance standards.

The role requires 3+ years in financial/brokerage operations, solid Excel/Outlook skills, and strong communication.

Qualifications

• 3 years plus of financial and/or brokerage industry experience, preferably in operations.
• Proficient in Microsoft applications, particularly Excel and Outlook.
• Strong problem-solving, attention to detail, and communication skills.

Responsibilities

• Communicate directly with clients (Financial Advisors/Professionals) and home office by phone for up to 90% of the day.
• Research complex situations, set client expectations, and define actions to resolve inquiries.
• Educate clients on usage of Corporate Action tools for monitoring and servicing their needs.
• Provide accurate information on high-risk Corporate Action events to ensure proper client utilization of tools.
• Maintain adherence to compliance/risk procedures and focus on investors' best interests.

Skills

Financial services experience

Client communication

Data analysis

Education

BA/BS preferred

Tools

Excel

Outlook

Job description

Job Overview

Job Overview: 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

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.

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.

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].

About LPL

LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Benefits

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