Trading Analyst, Overlay Portfolio Management

LPL Financial; Tempe (AZ); On-site; USD 89,544,000 - 148,781,000; Full time

Job summary

LPL Financial, a leading wealth management firm in the U.S., is seeking an Overlay Analyst to manage day-to-day trading of centrally managed platforms and to develop reports for leadership to monitor performance.

The role requires Series 7 and 65 licenses, 3+ years in finance, and client-facing experience. Strong analytical skills and MS Excel proficiency are expected. This is a full-time, on-site position in Tempe, AZ.

Qualifications

• Series 7 and 65 (or 66) licenses are required.
• 3+ years of experience in the financial industry and/or processing in a high-volume, deadline-driven environment.
• 1+ years of service-oriented experience interfacing with clients, other firms, and internal teams.

Responsibilities

• Participates in the management and execution of OPMG processes related to trading and day-to-day maintenance of centrally managed platforms.
• Meet tight deadlines with minimal supervision in a fast-paced environment.
• Review, approve, and upload model portfolios submitted by investment managers and strategists.

Skills

Series 7 license

Series 65 license (or 66)

Financial industry experience

Client-facing experience

Data analysis

Education

Bachelor's degree

Tools

MS Excel

Excel Macro

Visual Basic

Vestmark

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 Overlay Analyst is responsible for the day-to-day management and trading of LPL's centrally-managed platforms. The Overlay Analyst ensures that all accounts are managed in-line with the selected investment strategies. In addition, the Overlay Analyst develops and maintains regular and ad-hoc reports that allow LPL Leadership to better monitor and understand the drivers of the Centrally Managed Platforms.

Responsibilities

• Participates in the management and execution of the OPMG processes as they relate to trading and day to day maintenance of the centrally managed platforms.
• Ability to meet strict deadlines with minimal supervision in a fast-paced environment.
• Reviews, approves, and uploads model security portfolios submitted by investment managers and strategists.
• Reviews and approves large trades.
• Research complex situations and define the actions necessary to resolve the situation.
• Ability to take on new challenges. Subject Matter Expert on Operational Policies and procedures with a primary focus on one of the centrally managed platforms.
• Focuses on increasing efficiencies and reducing risk by improving current processes.
• Supports leadership on multiple and possibly overlapping projects.
• Project Testing and Implementation.
• Mine and analyze internal data sets and build reports to help stakeholders develop action plans and / or draw conclusions.
• Provides exemplary customer service by acting as a primary contact between OPMG and external/internal business partners.

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

• Series 7 and 65 (or 66) licenses
• 3+ years of experience working in the financial industry and/or processing in a high volume and deadline-driven environment
• 1+ years of Service-oriented experience working with various groups such as clients, other firms, service team, offshore partners, and various business units within a company

Core Competencies

• Effective team player
• Ability to handle escalated items timely and accurately.
• Demonstrates the ability to collaborate across departments and in meetings to implement or support ongoing processes and projects.
• Client-first customer service-oriented mindset from a financial background
• Attention to detail, problem-solving skills, and excellent verbal and written abilities.
• Ability to contribute positively to a team-focused environment, driving both growth and innovation.
• Highly analytical, have a reputation for high productivity and accuracy, capable of achieving outstanding results under time constraints.

Preferences

• BETA - Proficient
• Vestmark - Proficient
• Bachelor's degree
• MS- Excel- Proficient
• Visual Basic- Introductory
• Excel Macro (Visual Basic) experience
• Business Process improvement experience

Pay Range

$31.25-$52.04/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.

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