LPL Financial
Analyst, New Account Operations
The Analyst – Foreign Account Operations serves as a subject matter expert and provides leadership in managing the full lifecycle of foreign accounts, including opening, maintenance, and closure. This role ensures compliance with international regulations, oversees complex cases, and drives process improvements to enhance operational efficiency and client experience. The Analyst collaborates with business partners and supports audits and regulatory reviews.
Responsibilities
Lead and oversee foreign account opening, maintenance, and closure processes.
Review and approve documentation for complex or high‑risk accounts.
Act as an escalation point for inquiries related to foreign account operations.
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).
Provide training, mentorship, and guidance to team members.
Support audits and regulatory reviews 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.
Execute control activities to ensure adherence to firm policies and guidelines.
Qualifications
2+ years of experience in financial operations with a focus on foreign account processing.
2+ years of in‑depth knowledge of international regulatory requirements (AML/KYC).
Core Competencies
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.
Be curious – identify deficiencies and find ways to continuously improve the process through controls testing and routine assessments.
Preferences
Experience in process improvement (Lean methodologies – root cause problem solving) and operational risk mitigation.
Familiarity with global financial products and services.
BETA and Excel experience is essential for job duties.
ClientWorks, BOPM/Camunda, Archer, MS Office suite experience is preferred.
Multilingual skills or experience working with international clients is a plus.
Strong leadership and decision‑making skills.
Excellent communication and interpersonal skills, with the ability to influence and collaborate across departments.
Pay Range $24.60-$41.01/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401k matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Information on Interviews LPL will only communicate with a job applicant directly from an @lplfinancial.com 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 applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
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Responsibilities
Lead and oversee foreign account opening, maintenance, and closure processes.
Review and approve documentation for complex or high‑risk accounts.
Act as an escalation point for inquiries related to foreign account operations.
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).
Provide training, mentorship, and guidance to team members.
Support audits and regulatory reviews 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.
Execute control activities to ensure adherence to firm policies and guidelines.
Qualifications
2+ years of experience in financial operations with a focus on foreign account processing.
2+ years of in‑depth knowledge of international regulatory requirements (AML/KYC).
Core Competencies
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.
Be curious – identify deficiencies and find ways to continuously improve the process through controls testing and routine assessments.
Preferences
Experience in process improvement (Lean methodologies – root cause problem solving) and operational risk mitigation.
Familiarity with global financial products and services.
BETA and Excel experience is essential for job duties.
ClientWorks, BOPM/Camunda, Archer, MS Office suite experience is preferred.
Multilingual skills or experience working with international clients is a plus.
Strong leadership and decision‑making skills.
Excellent communication and interpersonal skills, with the ability to influence and collaborate across departments.
Pay Range $24.60-$41.01/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401k matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Information on Interviews LPL will only communicate with a job applicant directly from an @lplfinancial.com 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 applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
#J-18808-Ljbffr