Associate Analyst

2 weeks ago

Tempe, United States LPL Financial Full time

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

**Job Overview**:
**Responsibilities**:

- Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.
- Processing New U4’s, U4 Maintenance, Terminations, Disclosures and other applicable Registration responsibilities.
- Identifying Risk exposure with all projects. Includes ensuring all regulatory driven projects are completed within regulatory timelines.
- Process insurance appointments and licensing requests.
- Continually access and identify new risk items within departmental processes.
- Look for ways to improve Advisor experience for registration functions
- Effectively managing competing priorities of requests working under strict deliverables

**What are we looking for?**

We want **strong collaborators** **who can deliver a world-class client experience**. We are looking for people who thrive in a **fast-paced environment**, **are client-focused**, **team oriented**, and are able to execute in a way that encourages **creativity **and **continuous improvement**.

**Requirements**:

- High School Diploma
- Proficient with Microsoft Office Applications
- Excellent verbal and written communication skills
- Personable and reliable self-starter who requires mínimal management oversight for day-to-day work responsibilities
- Strong attention to detail with a pro-active approach to solving and preventing problems
- Highly motivated and able to adapt to changing priorities
- Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
- 2-3 years’ experience in a professional setting in the financial industry.

**Core Competencies**:

- Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills
- Ability to quickly learn and maintain knowledge in a very dynamic environment
- Customer focus, problem solving, multi-task, strong attention to detail, collaboration, time management & organization

**Preferences**:

- Financial Industry experience, Registrations or Compliance experience preferred.

**Pay Range**:
$23.23-$34.85/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. Your recruiter will be happy to discuss all that LPL has to offer

**Why LPL?**:
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are **one team on one mission.** We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

**Information on Interviews**:

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