Analyst, Mutual Funds Operations
LPL Financial
full-time
Posted on:
Location Type: Office
Location: Fort Mill • North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $26 - $44 per hour
Job Level
Mid-LevelSenior
Tech Stack
SQL
About the role
- Manage daily processing tasks
- 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
- Review complex escalations and operational problems, summarize these issues and give key information to communicate with advisors
- Communicate with trading, compliance, legal and operation departments as well as external contrabrokers to resolve issues
- 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
- Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure
- 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
Requirements
- 3+ years of industry experience (preferably corporate actions) in Operations
- 2+ years of trading and/or corrections experience
- 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 and either Series 7 or Series 99 preferred
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
data reconciliationreport analysisquality controlerror rate managementtransaction validationrisk mitigationproject managementSQLAlteryxVBS
Soft skills
analytical skillscommunicationproblem-solvingescalation leadershipcollaborationservice orientationadaptabilityattention to detailorganizational skillscustomer service
Certifications
SIESeries 7Series 99