What are the responsibilities and job description for the Analyst, Operations position at LPL Financial?
Job Overview :
The Analyst in Account Transfers monitors and reports on operational controls and processes, as well as project scope, testing and oversight. The role analyzes operational processes, identifies and analyzes potential risk through statistical reports, and makes recommendations to reduce overall risk to the business. In addition, the Analyst assist managements with project scope, testing, and oversight and handling daily, weekly, and monthly statistical reports. This role also requires analysis of Account Transfers / Operational processes to make recommendations for efficiencies while providing outstanding service and acting as a resource to internal and external business partners.
Responsibilities :
- Handling department projects including creation of new workflows, developing test scripts, performing QA and User Acceptance Testing, as well as overseeing all project deliverables.
- Building and delivering required department reports that consist of daily, weekly, monthly, and ad hoc requests; interpreting statistical reports to identify risks.
- Researching system releases provided by BETA to assess impact to transfer processes; partnering with management to prepare and avoid any regulatory or service impacts.
- Acting as a resource to the department and applying complex knowledge of the overall transfer process for inquiries received from internal and external customers and vendors.
- Ensuring proper application of and compliance with internal and regulatory standards, guidelines, and procedures.
- Evaluating potential risks and making recommendations to the Vice President to mitigate those risks through analysis, communication, and implementation of new processes and controls.
- Working with staff within BDSS departmental units to identify and understand all automated processes (macros), reports, and controls to be able to test them regularly to ensure effective operation.
- Creating trend reporting to ensure the department is operating as intended and addressing variances immediately.
- Assisting with Audit reviews, collection of data and materials for regulators and / or Internal Audit.
- Continually accessing and identifying new risk items within departmental processes.
- Examining and interpreting statistical reports to identify risks
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 , and are able to execute in a way that encourages creativity and continuous improvement .
Requirements :
Core Competencies :
Preferences :
Pay Range :
25.35-$42.25 / hourActual 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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.
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.
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.
Salary : $25 - $42
