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.

Job Overview:

The Associate Analyst will play a key role within the Client Reporting (Statements Communications) team, part of LPL’s Operations. This team is responsible for managing regulatory mailings including Trade Confirmations, Prospectuses, Monthly/Quarterly Statements, and Client Letters. Additional responsibilities include handling Return Mail and DBA (Doing Business As) Statement Logos. The role involves collaboration across departments to ensure accurate and timely delivery of client communications.

Responsibilities:

· Execute daily, weekly, and monthly operational tasks such as file transmissions to vendors, data validation, and reporting.

· Perform test scripts and support User Acceptance Testing (UAT) for statement-related systems and enhancements.

· Analyze exception reports related to statement, confirmation, letter, and prospectus delivery.

· Support internal and external audit requests with accurate documentation and data.

· Review and improve departmental processes to enhance risk oversight, operational efficiency, and consistency in client communications.

What are we looking for?

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.

Requirements:

· 2+ years of professional experience in business operations or financial services.

· 2+ years of intermediate skills in Microsoft Excel, including pivot tables and complex formulas.

Core Competencies:

· Strong problem-solving and analytical skills.

· Ability to manage multiple priorities effectively.

· Excellent written and verbal communication.

· Self-motivated and capable of working independently.

Preferences:

· Experience with SQL or similar scripting languages.

· Experience working with large data sets and performing quality control oversight.

· Experience cross collaborating with multiple internal business units and offshore team.

· Experience with Lean Six Sigma, Design Thinking, or Agile-Scrum methodologies.

· Bachelor’s degree in Finance or related field.

· FINRA Securities Industry Essentials (SIE) and/or Series 99 certification.

Pay Range:

Company Overview:

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 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 have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

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 (855) 575-6947.

EAC 5.19.26