Operations Analyst Operations Analyst …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Operations Analyst
Assoc Analyst, Operations San Diego/en-US/External/job/San-Diego/Assoc-Analyst--Operations_R-008072/apply

This position is responsible for assisting the Vice President within assigned New Accounts department in monitoring and reporting on operational controls and processes. This role requires the individual to have a deep understanding of operational processes, dependencies and control points. The role also requires analysis of Operational processes and make recommendations to reduce overall risk.

Responsibilities Include:

  • Evaluating the likelihood of risks and make recommendations to the Vice President to mitigate those risks through analysis, communication and implementation of new processes and controls.
  • Working with staff within BDSS departmental units to identify and understand all automated processes (macros),reports and controls to be able to test them regularly to ensure they operate effectively.
  • Create trend reporting to ensure the department is operating as intended and identify variances immediately to address any issues
  • Develop reports and procedures to audit critical processes and to confirm data integrity.
  • Coordinate, execute user testing and audit test results to ensure features are built as required
  • Demonstrate Analytical thinking and creativity. Be a subject matter expert and ask the right questions to "connect the dots" across a broad array of topics
  • Assist with Audit reviews, collection of data and materials for regulators and/or Internal Audit.
  • Continually access and identify new risk items within departmental processes
  • Examine and interpret statistical reports to identify risks


  • 5+ years or industry experience (preferably financial services) in Operations, Compliance or Risk Management
  • Ability to work independently in a fast-paced environment with multiple priorities
  • Ability to work with and communicate effectively to various levels throughout the organization.
  • Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
  • Bachelor Degree Preferred

Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint, SQL and Excel

Soft Skills Required:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities

We offer a competitive salary and benefits package. Please login or create an account to apply to this position.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego. 

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.  

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.   

Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE 

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Posted YesterdayFull timeR-008072

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.