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Analyst, Operations Regulatory Reporting

Job ID: R-005909 Date posted: 03/06/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

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.

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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  • Service and Operations, San Diego, California, United StatesRemove
  • Service and Operations, Fort Mill, South Carolina, United StatesRemove
  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove