LPL Financial Holdings, Inc.
Analyst, Corporate Actions
LPL Financial Holdings, Inc., Tempe, Arizona, us, 85285
Job Overview:
The Corporate Action team comprises of dividends, reorg, money market, proxies, restricted security, and cash & bank functionalities. The ideal candidate will need to aide in the design, implementation and ongoing support. Have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.
Responsibilities:Analytical skills to review exceptions and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures. Reconcile, process, and validation reports on a daily basis.Provide regulatory and risk oversight on processes and guidance for complex issues that arise in daily tasks.Reconcile large money market and bank sweep balancesAnswer inbound calls from advisors and service. Research and process service requests that are created by Service360 teams, General Service Center, and CCS Service CenterDevelop 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 departmentsRisk Management- responsible for daily corporate action reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedures reviews and presentations to the staff.Technology and Systems Management - Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients.Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.Support and contribute toward the successful execution of projects and initiatives that support LPL's priorities. Participate in UAT and scripts writing.Makes connections & offers creative recommendations on how to solve business challenges.What are we looking for?
We want
strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a
fast-paced environment, are client-focused, team oriented , and are able to execute in a way that encourages
creativity
and
continuous improvement .
Requirements:
3-5 years or industry experience (preferably corporate actions) in Operations, Compliance or Risk ManagementAll Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)Core Competencies:
Ability to work independently in a fast paced environment with multiple prioritiesAbility 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 connectsExcellent verbal and written communication skillsStrong time management and organizational skillsPreferences:
Series 7 preferredBachelor's degree in accounting, Finance, or Economics from an accredited University or College or equivalent industry experienceSQL
Pay Range:$27.01-$45.01/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are
one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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
@lp
lfinancial.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.
The Corporate Action team comprises of dividends, reorg, money market, proxies, restricted security, and cash & bank functionalities. The ideal candidate will need to aide in the design, implementation and ongoing support. Have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.
Responsibilities:Analytical skills to review exceptions and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures. Reconcile, process, and validation reports on a daily basis.Provide regulatory and risk oversight on processes and guidance for complex issues that arise in daily tasks.Reconcile large money market and bank sweep balancesAnswer inbound calls from advisors and service. Research and process service requests that are created by Service360 teams, General Service Center, and CCS Service CenterDevelop 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 departmentsRisk Management- responsible for daily corporate action reconciliations, managing error rates, exception review processing and daily reporting. Other duties could also include policy and procedures reviews and presentations to the staff.Technology and Systems Management - Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients.Recognizes issues, problems, or opportunities and determines whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.Support and contribute toward the successful execution of projects and initiatives that support LPL's priorities. Participate in UAT and scripts writing.Makes connections & offers creative recommendations on how to solve business challenges.What are we looking for?
We want
strong collaborators who can deliver a world-class client experience . We are looking for people who thrive in a
fast-paced environment, are client-focused, team oriented , and are able to execute in a way that encourages
creativity
and
continuous improvement .
Requirements:
3-5 years or industry experience (preferably corporate actions) in Operations, Compliance or Risk ManagementAll Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)Core Competencies:
Ability to work independently in a fast paced environment with multiple prioritiesAbility 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 connectsExcellent verbal and written communication skillsStrong time management and organizational skillsPreferences:
Series 7 preferredBachelor's degree in accounting, Finance, or Economics from an accredited University or College or equivalent industry experienceSQL
Pay Range:$27.01-$45.01/hour
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Why LPL?
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are
one team on one mission.
We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it's like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? 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
@lp
lfinancial.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.