What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial.

JOB OVERVIEW:

We are seeking a candidate who ideally has previous experience in the financial services industry, preferably with a background in dividends (mutual fund or equity), corporate action events, including voluntary/mandatory reorg events, proxy, and/or shareholder communications. The Associate Analyst responsibilities may include monitoring corporate action events including analyzing and drafting terms for reorg announcements, processing of complex allocations, exception processing review and analysis, and account reconciliation. They will handle inbound calls and team mailboxes to support inquiries from advisors, internal and external parties. Strong interpersonal, organization, and communication skills (written and verbal) as well as the ability to develop internal and external relationships is needed to be effective in the role. The ideal candidate will have an innovative and creative mind to aide in the design, implementation and ongoing support of various projects

REQUIREMENTS:

• 3 years plus of financial and/or brokerage industry experience, preferably in operations
• Proficient in Microsoft applications, particularly Excel and Outlook

• Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.
• Understand and interpret regulatory requirements and industry updates in an ever-changing regulatory environment, and the business needs of LPL, our advisors, and other departments.
• Responsible for daily quality control, exception review processing and reporting.
• Analyze and manage the firm’s DRIP program, ensuring compliance with industry guidelines.
• Reconcile suspense and clearance accounts, resolving breaks, and security and suspense transaction reviews adhering to established quality control measures and procedures.
• Analyze downgraded or new corporate action events, update or draft terms and key information to communicate with advisors for domestic and foreign securities.
• Effectively and confidently communicate with other internal departments as well as external 3rd parties including, but not limited to, contra brokers, transfer agents, issuers, vendors, and partners.
• Developing into a subject matter expert (SME) on operational policies and procedures. Assisting with the review, and update of Training Manuals and creation of new ones as needed.
• Handle inbound calls and the team mailbox, research and reply to inquiries from advisors and service team. Research and process service requests that are created by service teams.
• Support and contribute toward the successful execution of projects and initiatives that support LPL’s priorities. Participate in UAT.
• Other assignments as required by Management.