Senior Analyst, Regulatory Operations ReportingApply Job ID: R-002572 Date posted: 04/02/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill
This position is responsible for working with the VP/AVP of Regulatory Operations Reporting 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.
- Produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including OATS, Electronic Blue Sheets, Short Interest, TRACE, MSRB, LOPR, 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.
LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans.
Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.
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.