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Senior Analyst, Finance- Regulatory Reporting

Job ID: R-019642 Date posted: 11/15/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill , KS-Overland Park
Job Description

Are you passionate about protecting customers, adding value, improving processes/systems? 

Are you curious to learn?

Are you interested in working on meaningful projects?

Are you interested in being part of a team that is working to transform and do things differently?

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.

Job Overview:

The Regulatory Reporting team is responsible for compliance with the Financial Responsibilities Rules, such as Customer Protection (15c3-3) and Net Capital (15c3-1).  We are currently looking to hire a Senior Analyst within the Treasury Group, which is a part of LPL’s Finance organization.  The Senior Analyst in Regulatory Reporting is responsible for completion of the firm’s reporting requirements related to the financial responsibility rules, such as SEA Rules 15c3-3, Rule 15c3-1.


  • Prepare and analyze regulatory reports and schedules, such as Customer Reserve Calculation, Form Custody, and Net Capital computation.

  • Participate in the monthly close process, including the preparation of complex journal entries, account reconciliations and related analysis.

  • Support quarterly and annual audits, as well as inquiries and exams from the firm’s regulators

  • Evaluate current controls and implement new controls to ensure compliance with 17a-5 requirements

  • Coordinate periodic dividends / withdrawals from the firm’s broker-dealer subsidiaries.

What are we looking for?

We want strong collaborators 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.


  • Knowledge of the Financial Responsibilities Rule (e.g. 15c3-3, 15c3-1, 17a-5), their applicability to the business, and impact to changes in the rules or business

  • Experience in the broker dealer industry

  • Knowledge of broker dealer Operations and Accounting, with an understanding of how the business functions impact on the Customer Reserve and Net Capital computations

  • Strong analytical skills

  • Effective time management and ability to meet tight deadlines

  • Series 27 or ability to obtain within a year of hire date

  • Ability to work independently, make non-routine decisions, and solve complex questions

  • Organize, manage, and track multiple tasks, assignments, and regulatory filings in a fast-paced, deadline oriented work environment.

  • Lead effective meetings to provide relevant data and encourage open communication with various stakeholders

  • Shows curiosity to understand and learn from subject matter experts and other sources of useful information

  • Challenges the status quo to create increased efficiencies, improved accuracy, and process improvements


  • BA/BS degree in Accounting, Finance, or a related field

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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