Associate Analyst, Operations

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.

The Stock Record team reconciles books and records positions per regulatory requirements of a clearing firm. The team also processes share class conversions, Exchange Funds, private transaction accommodations and private stock transfers. The ideal candidate will aide in the daily processing, implementation and ongoing support for break reconciliation. If applicable to the candidate’s product experience, the candidate may also help with the transactions listed above.

The candidate will write and edit procedures for the team, working closely with Risk Management on their upkeep, and will demonstrate strong interpersonal, organizational and communication skills (written and verbal) to be effective in the role.

• Manage daily processing tasks as required.
• Reconcile and analyze reports; perform daily quality control, manage error rates, review exceptions and generate daily reports.
• Reconcile suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures.
• Communicate with trading, compliance, legal and operations departments as well as external contra brokers to resolve issues.
• Research and process service requests created by service teams.
• Develop risk‑based mitigation approaches that may yield changes to functions and departmental requirements.
• Understand and interpret rule modifications in a changing regulatory environment, and understand the business needs of LPL, its advisors, and other departments.
• Develop quality service standards and processes to create a consistent service experience.
• Handle escalations by both the Service Center and advisors.
• Complete other assignments as required by management.

• 2+ years of industry experience (preferably corporate actions) in Operations.
• 2+ years of mutual funds experience.

• Ability to work independently in a fast‑paced environment with multiple priorities.
• Ability to work with and communicate effectively at all levels throughout the organization.
• Ability to learn multiple aspects of the Financial Services industry and understand how they interconnect.
• Excellent verbal and written communication skills.

• MS Excel experience (macros and VLOOKUPs).
• Project management and escalation leadership experience.
• SQL, Alteryx, VBS experience preferred.
• Knowledge of the legal and regulatory environment governed by Federal Regulators (SEC), Self‑Regulatory Organizations (FINRA) and State Regulatory Departments.
• Bachelor’s degree preferred.
• SIE preferred.

$20.84–$34.73/hour. Base salary varies based on relevant skill, prior experience, education, peer base salary, performance and geographic location. LPL Total Rewards is highly competitive, including 401(k) matching, health benefits, employee stock options, paid time off and volunteer time off.

LPL Total Rewards package is designed to support your success at work, at home and at play.

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, LPL supports over 32,000 financial advisors and the wealth‑management practices of approximately 1,100 financial institutions, servicing and custodian approximately $2.3 trillion in brokerage and advisory assets on behalf of about 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 can choose the business model, services and technology resources that best fit their needs.

LPL will only communicate with a job applicant directly from an email address and will never conduct…