Operations Associate Analyst

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 Associate Analyst, Overlay Service provides critical operational support across the products supported by Overlay Service — Guided Wealth Portfolios (GWP), Model Wealth Portfolios (MWP), Optimum Market Portfolios (OMP), Personal Wealth Portfolios (PWP), and Separately Managed Accounts (SMA). Acting as a key liaison between Overlay Service and Overlay Operations, the Associate Analyst ensures advisor-driven requests are in good order and processed accurately within our Service Level Agreements (SLAs). This role also supports quality control, process improvement, and the resolution of complex inquiries in partnership with operations teams across the firm. 

Responsibilities 

• Provide critical operational support for the various products supported by Overlay Service (GWP, MWP, OMP, PWP, and SMA). 

• Maintain up-to-date knowledge and a strong understanding of the various products supported by Overlay Service (GWP, MWP, OMP, PWP, and SMA). 

• Accurately process requests across multiple platforms. 

• Act as a liaison between Overlay Service and Overlay Operations. 

• Support internal business partners with Overlay Service products. 

• Ensure advisor-driven requests are in good order and processed within our Operation’s Service Level Agreement (SLA). 

• Ensure compliance with regulatory requirements and adapt to regulatory changes. 

• Support operational partners with processing tasks and quality control (QC) processes to ensure daily operational tasks are completed correctly. 

• Assist with the implementation of new processes and procedures. 

• Assist with inquiry resolution, which entails research and coordination with various operations departments. 

• Begin reviewing processes and procedures, focusing on increasing efficiencies and reducing risk. 

• Maintain policy and procedure documents as changes arise. 

• Serve as a Subject Matter Expert (SME) in at least one area of Overlay products, trading processes, and regulations, while maintaining intermediate knowledge of the various products supported by LPL Financial (MWP, OMP, PWP, GWP, and Manager Select platforms). 

• Collaborate with internal business partners to support system enhancements and testing, resolve escalations, and adapt to process changes. 

What are we looking for? 

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work. 

Requirements 

• 2+ years of operations experience, preferably in financial services. 

• Experience working with MS Office, Beta, Siebel, ClientWorks, and the Move Money Tool is required. 

Core Competencies:

Preferences 

• Progressing toward SIE licensing (opportunity to license in the future if not already licensed). 

• Prior experience supporting managed accounts or advisory platforms.