Associate Analyst, Operations - Performance and Data Recon

LPL Financial; 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 is seeking an Associate Analyst in Tempe, AZ to become a SME on Client Reporting applications and support escalations across 3rd party reporting and PDR processes.

You will work with CRSST to resolve inquiries, improve client experience, and partner with internal teams on escalations and mailbox duties while maintaining professionalism and industry awareness.

Qualifications

• 1+ year in financial services with client facing or operations experience
• Experience in client service or support roles in financial industry is advantageous
• Strong communication and collaboration skills

Responsibilities

• Develop SME understanding of Client Reporting Applications and software
• Respond promptly and accurately to client inquiries with effective solutions
• Take ownership of advanced Client Reporting escalations
• Collaborate with team on 3rd Party Reporting and PDR processes
• Support Client Reporting Mailbox duties and team projects
• Maintain professionalism and empathy in client interactions
• Update knowledge of industry trends and best practices
• Direct inquiries through proper channels and escalate when needed
• Identify trends and suggest process improvements for PDR
• Collaborate with internal partners to resolve escalations
• Adapt to changes in client-facing software functionality

Skills

Verbal & written communication

Time management

Attention to detail

Analytical skills

Prioritize deadlines

Adapt to change under pressure

Education

Bachelor's degree in Finance or Business

Securities Industry Essentials (SIE) certification (a plus)

Tools

Client Works

Dynamics for case management

NICE phone system

MS Excel

MS Word

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

$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. 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.

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

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].

EAC 5.19.26