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 division, is tasked with 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. Collaboration with various internal departments is crucial for the monthly statement review process and operational mailings.

The Operations Associate Analyst will hold a pivotal 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 reporting.

Key Responsibilities:

  • Take ownership of intermediate to complex situations, set expectations, and resolve inquiries promptly.
  • 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/monthly exception reports related to statements, confirmations, letters, and prospectus deliveries.
  • Support internal and external audit requests.
  • Evaluate departmental processes to identify opportunities for enhancing risk oversight, improving efficiency, and ensuring product consistency for Advisors and Clients.

What We Are Looking For:

We seek strong collaborators who are committed to delivering an exceptional client experience. Ideal candidates thrive in a dynamic environment, are client-focused, team-oriented, and can execute in a manner that fosters 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 efficient issue identification and robust quantitative analysis.
  • Capability to manage multiple priorities effectively.
  • Excellent written and verbal communication skills.
  • Ability to work independently with minimal supervision.

Preferences:

  • Bachelor's degree in finance or a related field with 2+ years of relevant experience.
  • 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 experience.
  • FINRA Securities Industry Essentials (SIE) and/or Series 99 certification.
  • Knowledge of Microsoft Dynamics.

Pay Range:

$20.23-$33.71/hour. Actual base salary varies based on factors such as relevant skills, prior experience, education, and geographic location. LPL Financial offers a highly 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.

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