Associate Analyst, Stock Records

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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 need to aid in the daily processing, implementation and ongoing support for break reconciliation. If applicable to the candidate's product experience, candidate could also help with the transactions listed above.

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

• Manage daily processing tasks as required.
• Reconcile and analyze reports. Responsible for daily quality control, managing error rates, exception review processing and daily reporting.
• Analytical skills to reconcile suspense accounts and validate transactions to ensure compliance with regulatory policies and procedures.
• Communicate with trading, compliance, legal and operation departments as well as external contra brokers to resolve issues.
• Research and process service requests that are created by service teams.
• Develop risk-based mitigation approaches that may yield changes to functions, and departmental requirements.
• Understand and Interpret rule modifications in an ever-changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
• Developing quality service standards and processes to create a consistent service experience
• Handle escalations by both the Service Center and Advisors
• Other assignments as required by Management

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.

• 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 to various levels throughout the organization.
• Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
• 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 legal and regulatory environment provided by Federal Regulators (SEC), Self-Regulatory Organizations (FINRA) and State Regulatory Departments
• Bachelor Degree Preferred
• SIE preferred

$20.85-$34.71/hour

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…