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Senior Analyst, Operations Regulatory Reporting

Job ID: R-005503 Date posted: 01/09/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

This position is responsible for working with the AVP of Operations Regulatory Reporting -Trading within Service, Trading and Operations Risk Management (STO RM) in the daily execution of various non-financial regulatory reporting activities. This entails ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations, and regulators.

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.
  • Assist with coordinating the remediation of reporting anomalies.
  • Contribute to 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.
  • Develop and maintain tracking metrics for management reporting, escalation and review.
  • Maintain control documentation needed for the various internal, external and regulatory reviews.

Desired Skills and Experience include:

  • 5 + years’ experience in SEC broker dealer regulatory capacity with a background in equity trade flow from executions to settlement.
  • Working knowledge of broker dealer regulatory non-financial reporting requirements including but not limited to EBS, OATS, ACT, TRACE and ORF. 
  • Knowledge of control environment for SOX, SSAE18, FICCA, and 17a-5.
  • Ability to work both independently and as part of a team.
  • Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.
  • Have excellent analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.
  • Licenses/Certifications Preferred: Series 99, 7, 24, 63 and 65 (66) preferred.
  • All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s 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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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 life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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