Sr Analyst, New Accounts, Business Operations

LPL Financial•Fort Mill, SC

About The Position

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: The Sr. Analyst – Quality, Service and Robotics Operations serve as a subject matter expert and provides leadership in managing the full lifecycle of robotics, quality control processes and final implementation of automation for account maintenance and new account opening functions. This role ensures compliance with firm’s supervisory procedures and drives process improvements to enhance operational efficiency and client experience. The Sr. Analyst collaborates with production support and business partners to ensure optimal operating model.

Requirements

2+ years of experience in financial operations with a focus on account maintenance and opening.
Strategic thinker with strong analytical and problem-solving abilities.
Ability to manage complex projects and prioritize competing deadlines.
High attention to detail and commitment to accuracy.
Strong leadership and team development skills.
Strong leadership and decision-making skills.
Excellent communication and interpersonal skills, with the ability to influence and collaborate across departments.

Nice To Haves

2+ years of experience responding to reporting inquiries using MS office tools and SQL.
Familiarity with Documentum and BOPM
Familiarity with Microsoft products and BETA
Experience in process improvement and operational risk mitigation.
Familiarity with financial products and services within broker-dealer environments.
Bachelor's degree or equivalent experience.
SIE or Series 99 licenses preferred.

Responsibilities

Lead and oversee quality of robotics processing of new account and maintenance documents.
Review and approve documentation for processing rules and procedures.
Collaborate with Compliance, Legal, and Risk teams to resolve regulatory or procedural issues.
Analyze workflow metrics and identify opportunities for process improvement and risk mitigation.
Develop and maintain detailed standard operating procedures (SOPs) for automation.
Provide training, mentorship, and guidance to team members.
Support control processes by preparing documentation and responding to inquiries.
Ensure accurate recordkeeping and adherence to data integrity standards.
Lead cross-functional projects aimed at improving efficiency and client experience.