Analyst, Corporate Actions

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:

The Corporate Action team comprises of dividends, reorg, money market, proxies, restricted security, and cash & bank functionalities. The ideal candidate will need to aid in the design, implementation and ongoing support. Understand 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:

• Risk Management - Responsible for quality and risk control processes for monitoring systems, vendor oversite, and review of daily processing work for on and offshore team.
• Reconciliation and reporting of clearance accounts to ensure all allocations from our various depositories have been properly allocated. Additional reporting such as FRC and reserves.
• Responsible for timely and accurate submission of elections to various repositories and agents.
• Communicate with other internal departments as well as external 3rd parties including, but not limited to, contra brokers, transfer agents, issuers, vendors, and partners.
• Participate in internal audits by providing documentation and demonstrating compliance of all key and non-key controls in walkthroughs.
• Leverage technology to automate manual work and simplify processes where feasible to create a highly scalable, flexible, and efficient infrastructure.
• Coordinate and lead training at a group or individual level.
• Handle escalations by both the Service Center and Advisors; exercise superior judgement in keeping manager informed about issues.
• Attend and participate in reorganization industry focus group meetings with various companies and vendors.
• Understand and Interpret rule modifications in an ever-changing regulatory environment, and the business needs of LPL, our advisors, and other departments
• Develop risk-based mitigation approaches that may yield changes to functions, and departmental requirements.
• 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.
• Technology and Systems Management - Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing and script writing.
• Makes connections & offers creative recommendations on how to solve business challenges.

What are we looking for?

We want strong collaborators who can deliver world-class client experiences . We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented , and can execute in a way that encourages creativity and continuous improvement .

Requirements:

• 3-5 years of industry experience (preferably corporate actions) in Operations, Compliance or Risk Management
• All Microsoft applications, particularly VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)

Core Competencies:

• Ability to work independently in a fast-paced environment with multiple priorities
• Ability to work with and communicate effectively at various levels throughout the organization.
• Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
• Excellent verbal and written communication skills
• Strong time management and organizational skills

Preferences:

• Series 7 preferred
• Bachelor's degree in accounting, Finance, or Economics from an accredited University or College or equivalent industry experience
• SQL or Alteryx knowledge

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!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

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 .

EAC1.22.25