Compensation Analyst Compensation Analyst …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Compensation Analyst
Associate Analyst Client Compensation Project, Reporting and Audit San Diego/en-US/External/job/San-Diego/Associate-Analyst-Client-Compensation--Project--Reporting-and-Audit_R-008959/apply


The Client Compensation team is responsible for receiving and paying compensation for our advisors. The Project, Reporting, and Audit Associate Analyst plays a role in support of several key areas across the Client Compensation team. The level of support across these areas will vary based on business need. The support includes: researching and investigating transactions and compensation in support of the regulator request; researching house entries, calling sponsors, navigating ComReg, submitting correction and tracking changes. In addition, the Associate Analyst will need a solid understanding of data analysis and models, function and process models and project management. The candidate will also need strong interpersonal, organizational, and communication skills (written and verbal) to be effective in the role. Person must be able to balance their workload in a dynamic, fast paced environment.


  • Assist processors in identifying and analyzing gaps between current processes and the desired state.
  • Ability to create and update daily, weekly and monthly reporting.
  • Manage workflow and resources to meet Service Level Agreements.
  • Investigate misuse of fund processing and provide recommendations for enhanced procedures to reduce risk to the firm.
  • Periodic review of existing procedures, creating procedures for new processes, and develop initiatives towards process improvements.
  • Participate in meetings with peers, and management team as needed
  • Investigate unidentified compensations, includes but not limited to, advisor call our, sponsor call out, internal/another department networking, etc.
  • Participates in value stream analysis, 5 Whys analysis, brainstorming sessions, etc. to identify root causes of challenges identified
  • Participate in discussions with business process owners to capture and analyze business and technical processes to formulate and develop new and modified business information processes with a combination of automated and manual solutions.
  • Interact regularly with user groups to identify and define business requirements; document using LPL standards
  • Assist Analysts with business requirements for work orders and projects
  • Participate in business requirement meetings and document requirements in LPL-standard formats
  • Test work orders, work order tracking and document requirements
  • Ensure that UAT is being conducted and backup is documented and stored in line with our control objectives
  • Assist in data research and analysis for Legal and regulatory request.
  • Assist in creating process workflows and gather documentation for Internal Audit testing
  • Ability to manage multiple ongoing engagements
  • Ability to build strong working relationships
  • Strong presentation and team facilitation skills


  • BA/BS in Business or 3+ years financial services Industry experience
  • Experience in a commissions/accounting department preferred
  • Strong leadership skills with proven ability to effectively lead cross-functional project teams
  • Exceptional ability to collect, analyze and interpret both qualitative and quantitative data
  • Proven ability to communicate and work with all levels of an organization
  • High energy self-starter; must be able to take the initiative with minimal guidance and be comfortable working both as an individual and as part of a team
  • Excellent communication skills, both written and oral
  • Excellent interpersonal, influence and analytical skills
  • Strong attention to detail
  • Effective organizational and time management skills, with ability to multi-task, and manage multiple on-going assignments.
  • Excellent PC Skills, including MS Word, Excel, PowerPoint, Access, Outlook.
  • Ability to work well under pressure with several competing deadlines

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.

Join the LPL team and help us make a difference by turning lifes 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 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (800) 877-7210.

Posted 3 Days AgoFull timeR-008959

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.