LPL Financial · 22 hours ago
Associate Analyst, Operations
Fort Mill, SC
Full-time
Onsite
Entry Level
$20.84/hr - $34.73/hr
2+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success while helping clients pursue their financial goals. The Associate Analyst in Operations will manage daily processing tasks, reconcile reports, and communicate with various departments to resolve issues, ensuring compliance with regulatory policies and procedures.
FinanceFinancial Services
Responsibilities
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
Qualification
Required
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
Preferred
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
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
And more
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
MarketScreener
2025-12-16
2025-12-12
Company data provided by crunchbase