Associate Analyst, Stock Records

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

Benefits offered by this job

Health benefits

Employee stock options

401K matching

Paid time off

Volunteer time off

Job summary

LPL Financial LLC is seeking a detail-oriented professional to join the Stock Record team in Tempe. You will help with daily processing, break reconciliation, and regulatory-compliant transaction handling, potentially supporting stock transfers and related activities.

Responsibilities include reconciling reports, maintaining quality control, and collaborating across trading, risk, and operations. Strong communication and Excel skills are essential in a fast-paced, team-driven environment.

Qualifications

• 2+ years of experience in Operations (corporate actions preferred)
• 2+ years of mutual funds experience
• Ability to work independently in a fast-paced environment with multiple priorities
• Strong written and verbal communication across organization levels
• Proficient in MS Excel, including macros and lookups
• Project management and escalation leadership experience
• Knowledge of regulatory environment (SEC, FINRA, state regulators)

Responsibilities

• Manage daily processing tasks as required.
• Reconcile and analyze reports.
• Maintain daily quality control and review exceptions.
• Reconcile suspense accounts and validate transactions for regulatory compliance.
• Communicate with trading, compliance, legal and operations, and external brokers to resolve issues.
• Process service requests from service teams.
• Develop risk-based mitigation approaches and adapt to regulatory changes.
• Understand and interpret rule modifications affecting business needs.
• Develop quality service standards and consistent processes.
• Handle escalations from Service Center and Advisors.
• Perform other assignments as required by Management.

Skills

Communication

Independent work

Team collaboration

Problem solving

Education

Bachelor degree preferred

SIE preferred

Financial services knowledge

Tools

Excel (macros, vlookups)

SQL

Alteryx

VBS

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 Stock Record team reconciles books and records positions per regulatory requirements of a clearing firm. The team also processes share class conversions, Exchange Funds, private transaction accommodations and private stock transfers. The ideal candidate will need to aid in the daily processing, implementation and ongoing support for break reconciliation. If applicable to the candidate’s product experience, candidate could also help with the transactions listed above. The candidate will also need to write and edit procedures for the team, working closely with Risk Management on their upkeep. The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.

Responsibilities

• Manage daily processing tasks as required.
• Reconcile and analyze reports.
• Responsible for daily quality control, managing error rates, exception review processing and daily reporting.
• Analytical skills to reconcile suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures.
• Communicate with trading, compliance, legal and operation departments as well as external contra brokers to resolve issues.
• Research and process service requests that are created by service teams.
• Develop risk-based mitigation approaches that may yield changes to functions, and departmental requirements.
• Understand and Interpret rule modifications in an ever-changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments.
• Developing quality service standards and processes to create a consistent service experience.
• Handle escalations by both the Service Center and Advisors.
• Other assignments as required by Management.

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

• 2+ years of industry experience (preferably corporate actions) in Operations
• 2+ years of mutual funds experience
• Core Competencies: Ability to work independently in a fast paced environment with multiple priorities
• Ability to work with and communicate effectively to various levels throughout the organization.
• Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
• Excellent verbal and written communication skills
• MS Excel experience (macros and vlookups)
• Project management and escalation leadership experience
• SQL, Alteryx, VBS experience preferred
• Knowledge of legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
• Bachelor Degree Preferred
• SIE preferred
• 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.

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.

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

Simply put, we take care of our advisors and institutions, so they can take care of their clients.

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

Principals only. EOE.

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