Complaint Analyst

LPL Financial•San Diego, CA

About The Position

We are looking for a dedicated and detail-oriented Operational Complaint Analyst to join our Early Dispute Resolution (“EDR”) Team within LPL’s Legal Department that is responsible for reviewing and resolving the customer complaints received by the organization. The Operational Complaint Analyst role will report to a Vice President, Associate Counsel within the EDR Group. The role will require frequent interaction with the firm’s compliance, operations, and supervision teams, as well as with our registered financial professionals and affiliated programs. The successful candidate will have a business-oriented approach and mindset in developing and delivering solutions.

Requirements

2+ years of experience in complaint management, operational analysis, or customer service within the financial industry.
Strong analytical and problem-solving skills, with the ability to interpret complex data and make data-driven recommendations.
Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
Proficiency in using customer relationship management (CRM) software and Microsoft Office Suite.
Strong interpersonal skills and an ability to interact with business and compliance partners across the firm.

Nice To Haves

Bachelor’s degree from an accredited college or university.
A Bachelor’s degree in Business Administration, Finance, or a related field is a plus.
Financial Industry licenses are a plus (e.g., Series 7, Series 64, etc.).
Familiarity with FINRA, SEC and AML regulatory requirements.

Responsibilities

Receive, review, and triage customer complaints related to operational issues within the organization.
Conduct thorough investigations of operational complaints by gathering relevant data, engaging with stakeholders, and assessing operational processes.
Collaborate with relevant departments (e.g., operations, compliance, customer service) to resolve complaints efficiently and effectively.
Escalate complex complaints to EDR team management and/or specialized teams as necessary.
Document and maintain accurate records of complaints, investigations, and resolutions.
Identify opportunities for process improvements based on complaint analysis and customer feedback.
Work with cross-functional teams to implement corrective actions and enhance operational processes to prevent future complaints.
Ensure that complaint handling processes comply with relevant regulations and industry standards.
Comply with FINRA’s regulatory reporting rules regarding customer complaints.