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Sr Analyst , CLR Monitoring Systems and Analytics

Job ID: R-023634 Date posted: 08/09/2022 Primary Location SC-Fort Mill Other Locations CA-Remote

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

We are currently looking to hire a Sr Analyst within the CLR Monitoring & Analytics team , which is a part of LPL’s Compliance Legal and Risk (CLR) organization. CLR Monitoring & Analytics team is an entrepreneurial, high-performing team responsible for improving  the design and optimization of CLR’s monitoring tools and analytics capabilities.

Role Overview:

The Sr. Analyst will manage assignments that are varied and complex and require logical and analytical reasoning skills combined with seasoned judgment, creativity, and ingenuity. The Sr. Analyst partners with team members across CLR Monitoring & Analytics, technology services and other CLR departments.  This position requires excellent data, communication and writing skills, and the ability to quickly develop a working knowledge of the CLR and the CARE organization.


  • Develop and manage the overall UAT test plan. Co-ordinate and assist in the execution of UAT scripts. Organize meetings and support training efforts to ensure effectiveness of UAT initiatives
  • Partner with FCC managers , other compliance areas and technology services on various technical initiatives.
  • Helping to implement remediation and program transformation strategies.
  • Create and manage reports & dashboards with tools such as Tableau and Python. This will require creating complex query logic to merge multiple sets of segregated data.
  • Conduct ad-hoc analyses as appropriate to support priority business projects; Respond in a timely manner to ad hoc questions from team and executives
  • Keep up with emerging AML issues that pertain to data and technology.  Identify trends and opportunities to further improve the company's AML compliance program

What are we looking for?

We want strong collaborators with a technical background who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement


  • Bachelor's degree in Decision Information Science, Engineering, Mathematics, Finance, or related discipline or equivalent work experience
  • Experience with transaction monitoring applications like Mantas (OFSAA), Actimize and/or SAS .
  • Advanced knowledge of data management, query tools, and reporting like Tableau, Python
  • Advance knowledge in SQL and PL/SQL and other scripting language.
  • Excellent analytics capabilities, decision making and problem solving skills.
  • Team player who is comfortable working in a dynamic and fast-paced environment with minimal supervision
  • Ability to interact confidently with senior management
  • Excellent verbal and written communication skills
  • Balance multiple projects and other responsibilities
  • Know Your Customer (KYC) and Anti-Money Laundering & Terrorist Financing (AML/TF) risk and compliance knowledge


  • Working knowledge of SEC, FINRA, OCC and MSRB rules.
  • Extensive knowledge of Compliance and Risk functions within a Broker/Dealer and Wealth Management organization

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 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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  • Compliance, Fort Mill, South Carolina, United StatesRemove