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Senior Analyst

LPL Financial

LPL Financial

IT
Multiple locations
Posted on Tuesday, October 31, 2023

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!

Excited to learn more? If so, then this could be the role 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:
The Senior Analyst will support the setup and integration of new clients on to the LPL Enterprise (LPLE) platform across all investment products and trading platforms (Mutual Funds, Equity, Fixed Income, Annuity, Alternative Investment, Centrally Managed Accounts, and the Enhanced Trading Support Desk). This includes supporting research, analysis, implementation and documentation to setup the firm’s (trading) sub-region, creating and overseeing execution of user acceptance testing requirements, onboarding representatives to the LPLE platform, and partnering with the trading organization and LPLE representatives to navigate and resolve trading service and operational issues. The senior analyst would also maintain controls, compliance manuals, and other key artifacts to ensure ongoing regulatory compliance. Supervisory oversight will include, but is not limited to, trade correction principal review. The role will report to Vice President of LPLE Trading.

Responsibilities:

  • Execute integration strategy for LPLE and future LPLE clients on behalf of LPL Trading while meeting defined timelines and tollgates. This will include creating business requirements, testing strategy and UAT support for both establishment of the firm’s (through BETA) sub-region, all trading applications, telecom, and support model needs.

  • In partnership with Trading desks, identify, document, and solution for any future state needs of new clients to the LPLE platform.

  • Serve as a point of contact between the trading organization and LPLE enterprises.

  • Facilitate the development, implementation, and maintenance of Policies & Procedures, Key & Non-Key controls, Written Supervisory Procedures, and Advisor Compliance Manuals unique to LPLE.

  • Ensure ongoing regulatory compliance, firm policies and perform risk and controls oversight (including principal review of trade corrections for LPLE).


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, highly organized, and can execute in a way that encourages creativity, continuous improvement, and timely execution.

Requirements:

  • Demonstrated project management or business analyst experience in a trading environment.

  • Series 7 and Series 24 AND 63 or 66 Licenses.

  • Demonstrated experience across advisory, brokerage, and various security types.

  • Familiar with regulatory and industry related trading practices.

Core Competencies:

  • Excellent verbal and written communication skills, with the ability to effectively communicate to various levels of staff and senior leadership and articulate back-office trading functions across multiple security types

  • Highly organized with ability to manage multiple tasks with differing priorities and timelines.

  • Positive attitude and ability to adapt to various situations.

  • Superior service skills demonstrated through previous feedback.

  • Team oriented and able to work effectively with cross-functional teams.

  • Solution oriented with strong ability to collaborate within and outside the firm.

Preferences:

  • Experience across advisory, brokerage, and various security types.

  • Bachelor's degree in a related field

  • Experience with Jira and Confluence preferred.

  • Proficient in Microsoft PowerPoint, Excel, and Word.


    Pay Range:

    $69,840-$104,760/year


    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

    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 @lplfinancial.com 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 (800) 877-7210.