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Operations Associate Analyst

2 months ago

Knoxville, Tennessee, United States LPL Financial Full time

Job Overview:

The Client Reporting team, a vital component of LPL Financial's Operations, oversees essential regulatory communications, including Trade Confirmations, Prospectus, Monthly/Quarterly Statements, and Client Letters. This department also manages processes such as Return Mail and DBA (Doing Business As) Statement Logos. The Client Reporting team collaborates closely with various departments within LPL to ensure the accuracy and timeliness of monthly statement reviews and operational mailings.

The Operations Associate Analyst will assume a key role within the Client Reporting team. You will be tasked with executing daily, weekly, and monthly operational duties, which include file transmissions to vendors, conducting analyses, validating data, performing User Acceptance Testing (UAT), and generating reports.

Key Responsibilities:

  • Take ownership of complex inquiries, establish expectations, and implement timely resolutions.
  • Support UAT testing and readiness initiatives.
  • Engage in the implementation of business requirements and user stories for ongoing 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 product consistency for Advisors and Clients.

What We Seek:

We are looking for collaborative individuals who can provide an exceptional client experience. Ideal candidates thrive in dynamic environments, are client-focused, team-oriented, and demonstrate a commitment to creativity and continuous improvement.

Qualifications:

  • Minimum of 2 years of professional experience in a business setting.
  • Experience in the financial services sector.
  • Proficiency in MS Excel, including pivot tables and complex formulas.

Core Competencies:

  • Strong problem-solving abilities that facilitate effective issue identification and robust quantitative analysis.
  • Capability to manage multiple priorities effectively.
  • Excellent communication skills, both written and verbal.
  • Ability to work independently with minimal oversight.

Preferred Qualifications:

  • 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 understanding of the financial services industry and LPL platforms, products, and services.
  • Lean Six Sigma Yellow Belt, Design Thinking, or Agile-Scrum Methodology knowledge.
  • FINRA Securities Industry Essentials (SIE) and/or Series 99 certifications.
  • Knowledge of Microsoft Dynamics.

Compensation:

The pay range for this position is $20.23-$33.71 per hour. Actual base salary may vary based on factors such as relevant skills, prior experience, education, and demonstrated performance. LPL Financial offers a competitive Total Rewards package designed to support your success at work and in life, including 401K matching, health benefits, employee stock options, paid time off, and more.