Associate Analyst, Stock Records (Financial Services)

Location: Tempe, United States of America

Salary: $20.85–$34.71 per hour

Company

hirify.global is a U.S. wealth management firm providing brokerage, advisory, investment, fintech, and practice management services to financial advisors and institutions.

What you will do

• Manage daily mutual fund trade correction requests, verify submitted work, and calculate and communicate applicable trade-correction losses.
• Reconcile and analyze reports, perform daily quality control, review exceptions, manage error rates, and prepare daily reporting.
• Research and process service requests and handle escalations from service teams and advisors.
• Coordinate with trading, compliance, legal, operations, and external contra brokers to resolve issues.
• Develop risk-based mitigation approaches and improve functions, requirements, service standards, and processes.
• Interpret regulatory rule changes and write and maintain team procedures in partnership with Risk Management.

Requirements

• 2+ years of industry experience in Operations.
• Ability to work independently in a fast-paced environment with multiple priorities.
• Ability to communicate effectively with various organizational levels.
• Ability to learn multiple aspects of the financial services industry and understand how they connect.
• Excellent written and verbal communication skills.

Nice to have

• 2+ years of mutual funds experience.
• Microsoft Excel experience, including macros and VLOOKUPs.
• Project management and escalation leadership experience.
• SQL, Alteryx, and VBS experience.
• Knowledge of the legal and regulatory environment governed by the SEC, FINRA, and state regulatory departments.
• Bachelor’s degree.
• SIE qualification.

Culture & Benefits

• Full-time employment in a fast-paced, team-oriented environment focused on collaboration, integrity, creativity, continuous improvement, and client service.
• Benefits include 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Employment conditions and base salary vary by relevant skills, prior experience, education, internal peer compensation, performance, and geographic location.

Hiring process

• Apply by logging in or creating an LPL account; principals only.
• LPL communicates with applicants only from an @lplfinancial.com email address and does not conduct interviews online or in chatroom forums.
• LPL will not request payment or bank or credit card information during the application or interview process.