Complaint Analyst

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.

Job Overview:

We are looking for a dedicated and detail-oriented Operational Complaint Analyst to join our Early Dispute Resolution ("EDR") Team within LPL's Legal Department that is responsible for reviewing and resolving the customer complaints received by the organization.

The Operational Complaint Analyst role will report to a Vice President, Associate Counsel within the EDR Group. The role will require frequent interaction with the firm's compliance, operations, and supervision teams, as well as with our registered financial professionals and affiliated programs. The successful candidate will have a business-oriented approach and mindset in developing and delivering solutions.

Responsibilities:

• Receive, review, and triage customer complaints related to operational issues within the organization.
• Conduct thorough investigations of operational complaints by gathering relevant data, engaging with stakeholders, and assessing operational processes.
• Collaborate with relevant departments (e.g., operations, compliance, customer service) to resolve complaints efficiently and effectively.
• Escalate complex complaints to EDR team management and/or specialized teams as necessary.
• Document and maintain accurate records of complaints, investigations, and resolutions.
• Identify opportunities for process improvements based on complaint analysis and customer feedback.
• Work with cross-functional teams to implement corrective actions and enhance operational processes to prevent future complaints.
• Ensure that complaint handling processes comply with relevant regulations and industry standards.
• Comply with FINRA's regulatory reporting rules regarding customer complaints.

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:

• 2+ years of experience in complaint management, operational analysis, or customer service within the financial industry.

Core Competencies:

• Strong analytical and problem-solving skills, with the ability to interpret complex data and make data-driven recommendations.
• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
• Proficiency in using customer relationship management (CRM) software and Microsoft Office Suite.
• Strong interpersonal skills and an ability to interact with business and compliance partners across the firm.

Preferences:

• Bachelor's degree from an accredited college or university. A Bachelor's degree in Business Administration, Finance, or a related field is a plus.
• Financial Industry licenses are a plus (e.g., Series 7, Series 64, etc.).
• Familiarity with FINRA, SEC and AML regulatory requirements.

Pay Range:

$59,830-$99,717/yearActual 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

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

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

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here
• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here
• Impactful Work: Our size is just right for you to make a real impact.
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
• Community Focus: We care for our communities and encourage our employees to do the same.
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.

Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an 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

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