Associate Analyst, Operations - Performance and Data Recon

LPL Financial LLC; Tempe (AZ); On-site; USD 29,000 - 48,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial LLC in Tempe, AZ seeks an Associate Analyst for the Performance and Data Reconciliation (PDR) team within CRSST. You will become a SME on Client Reporting and support 3rd Party Reporting and PDR Level II processes, driving resolutions and continuous improvement.

Responsibilities include handling client inquiries, elevating escalations, and collaborating with partners to ensure high-quality client service in a fast-paced environment.

Qualifications

• 1+ year in financial services with client facing or operations experience (comparable experience may be considered)

Responsibilities

• Develop SME knowledge of Client Reporting Applications and software.
• Respond promptly and accurately to client inquiries with effective solutions.
• Take ownership of advanced Client Reporting escalations and act as liaison for escalated cases.
• Seek opportunities to enhance the client experience through improvements.
• Collaborate on 3rd Party Reporting, PDR Level II Processes, and Client Reporting duties.
• Maintain professionalism and empathy to build client relationships.
• Stay updated on industry trends to offer cutting-edge solutions.
• Direct inquiries through proper channels and escalate when needed.
• Identify trends and suggest operational improvements to the PDR team.
• Collaborate with internal partners to resolve escalations.

Skills

Communication

Time management

Attention to detail

Analytical skills

Complex information

Education

Bachelor's degree in Finance or Business

Tools

Client Works

Dynamics for case management

NICE phone system

MS Excel

MS Word

MS Office Suite

Job description

Where Ambition Meets Innovation: Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Associate Analyst within the Performance and Data Reconciliation (PDR) department on the Client Reporting Specialized Service Team (CRSST) assumes a critical role in offering expert resolutions to inquiries or requests pertaining to LPL Client Reporting Applications and software. This role involves becoming a Subject Matter Expert on Client Reporting and taking on additional responsibilities related to 3rd Party Reporting, PDR Level II Processes, and/or Client Reporting Mailbox duties. PDR serves as a dedicated liaison for addressing advanced Client Reporting escalations, with a steadfast commitment to delivering an unmatched service experience, ensuring that all Client Reporting needs are not only met but also surpassed.

Responsibilities

• Develop an in-depth understanding of Client Reporting Applications and software to become a Subject Matter Expert (SME).
• Respond promptly and accurately to client inquiries, offering effective solutions and resolutions
• Take ownership of advanced Client Reporting escalations, serving as a dedicated liaison for escalated cases
• Proactively seek opportunities to enhance the client experience through continuous improvement initiatives
• Collaborate with team members to provide support on 3rd Party Reporting, PDR Level II Processes, Team Projects, and/or Client Reporting Mailbox duties
• Strive to maintain a high level of professionalism and empathy while interacting with clients to build positive relationships.
• Continuously update knowledge of industry trends and best practices to offer cutting-edge solutions.
• Direct all inquiries through the proper channels to ensure proper processing and escalating inquiries when needed
• Identify trends and suggest operational improvements to the PDR team
• Collaborate with internal business partners to assist in resolving escalations
• Adapting and adopting to process changes and the updates related to client-facing software functionality

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

• 1+ year in financial services with client facing or operations experience (comparable experience may be considered)

Core Competencies

• Verbal and written communication skills
• Time management and organizational skills
• Attention to detail with a proactive approach to solving and preventing problems
• Ability to present complex information in a clear and concise way; strong analytical skills
• Ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk
• Ability to perform under pressure and adapt to changes

Preferences

• Prior experience in client service or support roles within the financial industry is advantageous
• Experience using Client Works, Dynamics for case management, and NICE phone system MS excel, MS word, and other MS office suite experience
• Excellent communication and interpersonal skills to engage with clients and internal stakeholders
• Demonstrated ability to work both independently and collaboratively in a team-oriented environment
• Knowledgeable in a wide range of investments and client reporting applications, including but not limited to; mutual funds, fixed income products, options, common stocks and annuities
• Bachelor's degree in Finance, Business, or a related field is preferred
• Securities Industry Essentials (SIE) is a plus

Pay Range

Pay Range: $20.85-$34.71/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.

Benefits

• 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 thriving businesses. 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.

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].

EOE.

EAC 5.19.26 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. Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility