LPL Financial · 9 hours ago
Associate Analyst, Settlements
Fort Mill/Charlotte
Full-time
Onsite
Entry Level
$24.47/hr - $40.79/hr
2+ years expLPL Financial is among the fastest growing wealth management firms in the U.S. The Associate Analyst role within the Settlements department will provide problem-solving, reporting, project and training support to the Settlements team, while also supporting leadership on business improvement projects.
FinanceFinancial Services
Responsibilities
Reconciling trade settlement and transfer fails to receive/deliver for equity and fixed income securities, metals, alternative investments, and international securities
Performing surveillance of trade obligations through daily reports for Municipal Bond, DVP, Penny Stock and CNS Trades and providing documented QC of reports generated by others
Balancing net settlement figures between General Ledger accounts for DTCC, NSCC, CNS, Bank of New York (BONY), and Fidelitrade
Offering strong problem solving to reconcile complex stock record breaks and supporting junior associates through training and learning
Executing Buy-ins and maintaining surveillance on short holdings of both securities and cash to ensure control of firm-level and client-level positions
Partnering with Trading, Purchase & Sales, Treasury, and Operations Control to help run a sound business
Working with senior analysts, and leadership to drive improvement for the business through dedicated efforts on team projects
Qualification
Required
2+ years' experience in the brokerage and financial services industry, or 1+ year of direct Settlements Experience
Strong analytical and problem solving skills with a keen attention to detail
Proficient to Advanced with Microsoft Office, particularly Excel, Word, PowerPoint
Excellent oral and written communication skills
Ability to perform under pressure with competing deadlines
Preferred
Bachelor's Degree from an Accredited University
FINRA SIE or Securities Registration
Prior Experience in an Analytical Role
Experience using SQL macros and V-Lookups
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
2026-01-23
2026-01-23
Company data provided by crunchbase