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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@lplfinancial.com.
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Sr Analyst, Compliance

Job ID: R-016645 Date posted: 08/05/2021 Primary Location SC-Fort Mill Other Locations CA-Remote , CA-San Diego

Are you a team player? Are you curious to learn? 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!

Excited to learn more? If so, then this could be the role 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 19,000 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 objective 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 Senior Analyst, Metrics and Reporting within Governance Team of the Marketing Regulatory Review (MRR) department, which is a part of LPL’s Compliance, Legal, and Risk (CLR) organization. This Senior Analyst position will be largely responsible for managing and analyzing data sets from numerous applications in order to develop and enhance a reporting portfolio of risk and operational metrics. The Senior Analyst will also be responsible for ongoing monitoring of processes and workflows with the goal of identifying opportunities to gain efficiency and enhance risk mitigation.  The Senior Analyst will work with all levels of staff within various business units of LPL Financial. The Senior Analyst will also help out with various tasks related to the Governance Team, including, but not limited to, data pulls for regulatory responses and assisting with analyzing processes to ensure adherence to procedures.

This position requires excellent verbal and written communication skills and the ability to quickly develop a working knowledge of LPL Financial technology, policies, and procedures. Experience working within a broker/dealer environment with a technology, compliance, or risk background is preferred.

Essential Functions:

  • Integrate data from various platforms into a consolidated reporting structure.
  • Analyze data and assist in developing strategies to reduce risk and improve business results.
  • Develop dynamic workflow reporting and analysis tools designed to facilitate continuous process improvement.
  • Identify and manage data issues, risks, and opportunities to improve reporting capabilities.
  • Research, analyze, and recommend data solutions to meet business needs.
  • Liaise with technology units to support the CLR Metrics and reporting initiatives.

Qualifications:

  • A minimum of 5 years related work experience.
  • Ability to review and interpret data conditions, translate into recommendations, and develop and implement technical solutions.
  • Strong written and verbal communication skills with both technical and non-technical audiences.
  • Experience in Data Analysis, Data Processing, Data Warehousing, ETL, Master Data Management, and Business Intelligence Reporting.
  • Experience with SQL.
  • Experience with Tableau and/or similar applications.
  • Experience with Analytics Programming Language(s); such as R, SAS, SPSS, Minitab, Python, MATLAB.

Preferred Experience:

  • Bachelor’s Degree from four-year College or university; preferably in MIS/Computer Science, Mathematics, Statistics, Economics, or Finance, or equivalent work experience.
  • Working knowledge of SEC, FINRA, and MSRB rules.
  • Knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization.
  • FINRA Series 7 and Series 24 licenses, or a willingness to work towards potentially obtaining them.

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 @lplfinancial.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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