Operations Associate Analyst

LPL Financial LLC; Charlotte, Fort Mill (NC, SC); On-site; USD 29,000 - 48,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial LLC is seeking an Associate Analyst for Overlay Service to provide essential operational support across GWP, MWP, OMP, PWP, and SMA. You will liaise between Overlay Service and Overlay Operations, ensuring advisor requests are accurate and processed within SLAs.

You will also contribute to quality control, process improvements, and resolving complex inquiries in coordination with multiple operations teams.

Qualifications

• 2+ years of operations experience, preferably in financial services.
• Experience with MS Office, Beta, Siebel, ClientWorks, and Move Money Tool is required.
• Strong written and verbal communication skills with excellent customer service.
• Strong problem-solving and analytical skills with keen attention to detail.
• Ability to work independently, within a group, and across departments in a fast-paced, deadline-driven environment.

Responsibilities

• Provide critical operational support for Overlay Service products (GWP, MWP, OMP, PWP, SMA).
• Maintain up-to-date knowledge of Overlay Service products (GWP, MWP, OMP, PWP, SMA).
• Accurately process requests across multiple platforms.
• Act as a liaison between Overlay Service and Overlay Operations.
• Support internal business partners with Overlay Service products.
• Ensure advisor-driven requests are in good order and processed within SLA.
• Ensure compliance with regulatory requirements and adapt to changes.
• Support QC processes to ensure daily tasks are completed correctly.
• Assist with implementing new processes and procedures.
• Assist with inquiry resolution through research and coordination.
• Review processes to increase efficiency and reduce risk.
• Maintain policy and procedure documents as changes arise.
• Serve as SME in at least one Overlay product area while maintaining knowledge of others.
• Collaborate with partners to support system enhancements and testing.

Skills

Communication skills

Analytical skills

Attention to detail

Teamwork and independence

Customer service

Tools

MS Office

Beta

Siebel

ClientWorks

Move Money Tool

Job description

Job Overview

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.

The Associate Analyst, Overlay Service provides critical operational support across the products supported by Overlay Service — Guided Wealth Portfolios (GWP), Model Wealth Portfolios (MWP), Optimum Market Portfolios (OMP), Personal Wealth Portfolios (PWP), and Separately Managed Accounts (SMA). Acting as a key liaison between Overlay Service and Overlay Operations, the Associate Analyst ensures advisor-driven requests are in good order and processed accurately within our Service Level Agreements (SLAs). This role also supports quality control, process improvement, and the resolution of complex inquiries in partnership with operations teams across the firm.

Responsibilities

• Provide critical operational support for the various products supported by Overlay Service (GWP, MWP, OMP, PWP, and SMA).
• Maintain up-to-date knowledge and a strong understanding of the various products supported by Overlay Service (GWP, MWP, OMP, PWP, and SMA).
• Accurately process requests across multiple platforms.
• Act as a liaison between Overlay Service and Overlay Operations.
• Support internal business partners with Overlay Service products.
• Ensure advisor-driven requests are in good order and processed within our Operation’s Service Level Agreement (SLA).
• Ensure compliance with regulatory requirements and adapt to regulatory changes.
• Support operational partners with processing tasks and quality control (QC) processes to ensure daily operational tasks are completed correctly.
• Assist with the implementation of new processes and procedures.
• Assist with inquiry resolution, which entails research and coordination with various operations departments.
• Begin reviewing processes and procedures, focusing on increasing efficiencies and reducing risk.
• Maintain policy and procedure documents as changes arise.
• Serve as a Subject Matter Expert (SME) in at least one area of Overlay products, trading processes, and regulations, while maintaining intermediate knowledge of the various products supported by LPL Financial (MWP, OMP, PWP, GWP, and Manager Select platforms).
• Collaborate with internal business partners to support system enhancements and testing, resolve escalations, and adapt to process changes.

Requirements

• 2+ years of operations experience, preferably in financial services.
• Experience working with MS Office, Beta, Siebel, ClientWorks, and the Move Money Tool is required.
• Strong written and verbal communication skills, with excellent customer service skills.
• Strong problem-solving and analytical skills, with keen attention to detail.
• Ability to work independently, within a group, and across departments in a fast-paced, deadline-driven environment.

Preferences

• Progressing toward SIE licensing (opportunity to license in the future if not already licensed).
• Prior experience supporting managed accounts or advisory platforms.

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.

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.

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

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

• As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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

EOE.