Associate Analyst, Operations

LPL Financial•Charlotte, NC

7h•$21 - $35

About The Position

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 Associate Analyst within Cash Management Operations is responsible for helping financial advisors and their assistants navigate through inquiries on behalf of their clients. The Associate Analyst supports frontline and associates with high priority service issues, manages escalated inquires, and assists with knowledge sharing. This includes resolving escalations and complex scenarios regarding wires and NIGO inquiries, while determining root cause, and providing recommendations for process improvement. This role is responsible for coaching and guidance for our internal and external clients. Additionally, the Cash Management Operations department offers opportunities to participate and contribute to team projects and training that supports career development and advancement.

Requirements

2+ years professional experience in financial services
2+ years business analysis (or similar) and/or process improvement experience
Strong understanding of or experience with move money transactions and related regulatory requirements
Skilled in client service and dedicated to providing a high-quality client experience
Excellent collaboration, verbal/written communication and organizational skills
Ability to prioritize and multi-task in a fast-paced environment
Change Agent, able to define the future state and assist with implementing change as necessary
Strong execution ability and a sense of urgency
Creative, flexible and an experienced practitioner

Nice To Haves

Experience or working knowledge with AML, fraud, and compliance
Handling escalations and phone calls when necessary
Knowlede of regulatory requirements
Experience with business systems analysis or business process design
Bachelor’s degree, in Business, Accounting, or Finance
FINRA SIE; Series 7/66/99 licenses would be a plus

Responsibilities

Supporting complex cash management related issues, ownership of each inquiry as the main point of contact and providing First Call Resolution, when possible. Additionally, for complex requests, taking ownership of the case that results in follow-up phone calls, processing, and proper documentation.
Supporting and managing escalated issues in a timely manner and acting as the point of contact for case resolution.
Facilitating the proper handling of client complaints per regulatory requirements by communicating to and collaborating with FINOP, Compliance, Legal, and Risk teams when necessary.
Maintaining and actively participating in the team training program and new hire onboarding experience.
Maintaining a positive and supportive workplace environment by taking initiative and assisting individual team members when appropriate.
Delivering regular positive feedback and coaching opportunities to support the team’s development.
Keeping apprised of and promoting new processes and controls, actively leading in daily huddles, and participating in monthly department meetings.
Providing feedback and process improvements to drive the business forward.
Implementing and maintaining a team-specific error tracking process to ensure proper coaching and training take place at the senior operations and associate service consultant level. Additionally responsible for reporting and presenting trends and process improvement recommendations to senior leaders at the team and enterprise level.
Assisting with and/or supporting ad hoc projects, presentations, monitoring, associate engagement and reporting as needed.