Operations Associate Analyst

1 week ago

Knoxville, Tennessee, United States LPL Financial Full time

Job Overview:

The Client Reporting team, part of LPL Financial's Operations, is tasked with managing essential regulatory communications, including Trade Confirmations, Prospectus, Monthly/Quarterly Statements, and Client Letters. The team also oversees processes like Return Mail and DBA (Doing Business As) Statement Logos, collaborating closely with various departments involved in the monthly statement review process and operational mailings.

The Operations Associate Analyst will hold a significant position within the Client Reporting team. Your responsibilities will encompass executing daily, weekly, and monthly operational tasks, which include file transmission to vendors, data analysis, validation, conducting User Acceptance Testing (UAT), and generating reports.

Key Responsibilities:

  • Take ownership of intermediate to complex inquiries, setting clear expectations and resolving issues promptly.
  • Support UAT testing and readiness initiatives.
  • Engage in the implementation of business requirements and user stories for both existing and new projects.
  • Assist in reviewing and analyzing daily and monthly exception reports related to statements, confirmations, letters, and prospectus deliveries.
  • Facilitate internal and external audit requests.
  • Evaluate departmental processes to identify opportunities for enhancing risk management, increasing efficiency, and ensuring consistency in products offered to Advisors and Clients.

What We Are Looking For:

We seek strong collaborators who are dedicated to delivering an exceptional client experience. Ideal candidates thrive in a dynamic environment, are client-focused, team-oriented, and capable of executing tasks that foster creativity and continuous improvement.

Requirements:

  • Minimum of 2 years of professional business experience.
  • Experience in the financial services sector.
  • Intermediate to advanced proficiency in MS Excel, including pivot tables and complex formulas.

Core Competencies:

  • Strong problem-solving abilities that facilitate the efficient identification of issues and execution of comprehensive quantitative analyses to address business questions.
  • Capability to manage multiple priorities effectively.
  • Excellent written and verbal communication skills.
  • Ability to work independently with minimal oversight.

Preferences:

  • Bachelor's degree in finance or a related field, along with 2+ years of relevant experience in financial services.
  • Familiarity with SQL or other scripting languages.
  • Demonstrated knowledge of the financial services industry and LPL platforms, products, and services.
  • Lean Six Sigma Yellow Belt, Design Thinking, or Agile-Scrum Methodology certification.
  • FINRA Securities Industry Essentials (SIE) and/or Series 99 certification.
  • Knowledge of Microsoft Dynamics.

Pay Range:

$20.23-$33.71/hour. Actual base salary may vary based on factors such as relevant skills, prior experience, education, internal peer salaries, demonstrated performance, and geographic location. LPL's Total Rewards package is highly competitive, designed to support your success in both professional and personal aspects, including 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

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