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The Associate Analyst role within the Settlements department will be responsible for providing problem-solving, reporting, project and training support to the Settlements team, and continuing to provide strong process level support to multiple sides of the team. This will require the Associate Analyst to have a foundational level of knowledge of all team processes with expertise in 2-3 subjects. Support leadership on business improvement projects.
 

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

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’ experience in the brokerage and financial services industry, or 1+ year of direct Settlements Experience

Core Competencies:

• 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

Preferences:

• 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

#LPL-PA

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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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 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.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.

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