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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lpl.com.
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Analyst, Operations Regulatory Reporting

Job ID: R-013024 Date posted: 02/17/2021 Primary Location SC-Fort Mill

Responsibilities Include:

  • Produce and/or validate for accuracy daily, weekly, or monthly regulatory trade reporting activities including Order Audit Trail System (OATS), Electronic Blue Sheets (EBS), Consolidated Audit Trail (CAT) and others.
  • Investigate, resolve, and track exceptions that may arise.
  • Partner with the Senior Analysts in the review and analysis of new business, rule changes or system changes that impact reporting processes and perform testing.
  • Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified.
  • Assist in the improvement of the team’s processing acumen by updating policies and procedures and cross-training.
  • Maintain control documentation needed for the various internal, external and regulatory reviews.

Desired Skills and Experience include:

  • 2-3 years of Broker Dealer or Financial Services industry experience. Trading or trading operations experience a plus.
  • Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.
  • Detail oriented with strong written and verbal communication skills.
  • Ability to work both independently and as part of a team.
  • Have excellent analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.
  • Intermediate level of proficiency in Excel (vlookup, countifs, pivot tables).
  • All other Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint.

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s 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 @lpl.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 (800) 877-7210.

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