LPL Financial · 19 hours ago
Complaint Analyst
Fort Mill/Charlotte
Full-time
Onsite
Entry, Mid Level
$60K/yr - $100K/yr
2+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success. The Operational Complaint Analyst will be responsible for reviewing and resolving customer complaints, collaborating with various departments to ensure efficient resolution and compliance with regulations.
FinanceFinancial Services
Responsibilities
Receive, review, and triage customer complaints related to operational issues within the organization
Conduct thorough investigations of operational complaints by gathering relevant data, engaging with stakeholders, and assessing operational processes
Collaborate with relevant departments (e.g., operations, compliance, customer service) to resolve complaints efficiently and effectively
Escalate complex complaints to EDR team management and/or specialized teams as necessary
Document and maintain accurate records of complaints, investigations, and resolutions
Identify opportunities for process improvements based on complaint analysis and customer feedback
Work with cross-functional teams to implement corrective actions and enhance operational processes to prevent future complaints
Ensure that complaint handling processes comply with relevant regulations and industry standards
Comply with FINRA’s regulatory reporting rules regarding customer complaints
Qualification
Required
2+ years of experience in complaint management, operational analysis, or customer service within the financial industry
Strong analytical and problem-solving skills, with the ability to interpret complex data and make data-driven recommendations
Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels
Proficiency in using customer relationship management (CRM) software and Microsoft Office Suite
Strong interpersonal skills and an ability to interact with business and compliance partners across the firm
Preferred
Bachelor's degree from an accredited college or university. A Bachelor's degree in Business Administration, Finance, or a related field is a plus
Financial Industry licenses are a plus (e.g., Series 7, Series 64, etc.)
Familiarity with FINRA, SEC and AML regulatory requirements
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
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
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-12
Investment News
2026-01-11
2026-01-09
Company data provided by crunchbase