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Analyst, Operations

LPL Financial

LPL Financial

This job is no longer accepting applications

See open jobs at LPL Financial.
IT, Operations
Fort Mill, SC, USA · Charlotte, NC, USA · Fort Mill, SC, USA · Charlotte, NC, USA
Posted on Wednesday, January 24, 2024

Are you a team player? Are you curious to learn? Are you interested in supporting others as they grow their business? 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!

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 Analyst, Operations role requires a candidate with an SIE as this position plays a critical role in support of several key areas across the Client Compensation team. The level of support across these areas will vary based on business need and as such s/he must be self-motivated and have the ability to work effectively with minimal supervision. The Analyst is responsible for department projects and initiatives and will dig into process workflows, controls, or systems to ensure Client Compensation can meet the goal of accurate payment of compensation across all affiliation models.

This role will require the individual to offer expert resolutions to processing related inquiries and requests, possessing strong organization and analytical skills to lead project initiatives for Client Compensation. The analyst must be able to effectively communicate with others and balance workload in a dynamic environment to ensure tasks are completed accurately and timely. Being flexible and adaptable to competing priorities will be key success factors for this position.


  • Develop an in-depth understanding of Client Compensation operations processing to become a Subject Matter Expert (SME).

  • Take ownership of Client Compensation escalations, serving as a dedicated liaison for escalated cases.

  • Supporting teammates and the department on other compensation tasks and activities such as training, resource sharing, and backup support.

  • Proactively seek opportunities to enhance the stakeholder experience through continuous improvement initiatives and adaptation.

  • Strive to maintain a high level of professionalism and empathy while interacting with internal and external stakeholders to build positive relationships.

  • Actively participate in continuous learning trainings; continuously update knowledge of industry trends and best practices to offer cutting-edge solutions.

  • Manage projects and coordinate across Client Compensation for both internal and external initiatives

  • Support Workflow Review and Enhancement

  • Execute and Lead Training initiatives for Client Comp Processing teams

  • Coordination of periodic review of existing procedures across the Client Compensation department, creating procedures for new processes, and validating procedures are consistent with tasks

  • Participate in Value Stream analysis, 5 Why’s analysis, brainstorming sessions, etc. to identify root causes of challenges identified


  • Bachelor’s degree

  • SIE (Securities Industry Essentials)

  • 4+ years financial services Industry experience

  • Working knowledge in process improvement methodology (Lean, Agile, Six Sigma)

Core Competencies:

  • Excellent communication, organization, and time management skills, with ability to manage through ambiguity

  • The ability to prioritize responsibilities to ensure deadlines provided by regulators and firm are followed and identify and manage firm risk

  • Strong communication skills, both written and oral, and willingness to speak up, talk to advisors and stakeholders

  • Strong analytical skills with demonstrated ability to evaluate business opportunities and evaluate results against established objectives

  • Must be able to take the initiative with minimal guidance and be comfortable working independently and as part of a team

  • Oracle, SharePoint, BETA, and Visio experience preferred


  • Bachelor’s degree, preferably in Finance or related field

  • Refinitiv/BETA experience

  • Series 7, 63, or 99 licenses

  • Microsoft Office Suite proficiency with advanced Excel skills including formulas and Pivot Tables.

Pay Range:


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.

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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.

This job is no longer accepting applications

See open jobs at LPL Financial.