Stock Records Analyst - Reconciliation & Compliance

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

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.