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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
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Business Systems Analyst, AVP (remote)

Job ID: R-018295 Date posted: 10/04/2021 Primary Location SC-Remote Other Locations CA-Remote

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 an AVP, Business Systems Analyst within the Compliance Monitoring and Analytics department, which is a part of LPL’s Compliance Legal and Risk (CLR ) organization. This role requires advanced data analytics capabilities to support our supervisory alert models, including parameter tuning, and data and model validation needs. The role will also be heavily involved in optimization efforts driven by analytics, such as RPA and AI model development and tuning. The AVP will be an independent contributor, capable of diagnosing issues, and organizing/leading efforts through complex topics. They will work with all levels of staff in the various divisions of  LPL Financial, including CLR, Tech, and the CARE organization.  

This position requires excellent data, communication and writing skills, and the aptitude to quickly develop a working knowledge of LPL Financial technology, policies and procedures. The ability to interact with all levels of management, as well as experience working within a broker/dealer environment (ideally with a technology and data science  background) is preferred.


  • Leverage data to create insights and analyses to solve complex business problems for stakeholders across CLR, including but not limited to data visualization (dashboards), effectiveness of controls, and next-best action.

  • Communicate and coordinate across various Data & Analytics functions, such as Data Science, Data Strategy and Governance, and Digital Analytics, to ensure Data & Analytics brand is consistent and receive diverse feedback on work product.
  •  Assist in managing the technology &  project portfolio within CLR
  • Support initiatives to improve the operational and technical capabilities of the firm
  • Manage escalations and follows up on outstanding issues
  •  Ensure that Quality Control processes are followed and maintained
  • Serve as a subject matter expert for key CLR systems.
  • Develop and maintain client relationships and ensure client satisfaction

Other Job Duties:

  • Support firm wide and other department projects / initiatives as a CLR representative to provide guidance and interpretation of rules, regulations, risks, and best practices.
  • Contribute to the implementation of policies, procedures, training and communication in support of associated projects.
  • Mentor and educate team members on current industry technology and issues.


  • Bachelor’s Degree in MIS / Computer Science, Business Administration or equivalent work experience
  • Proficient in advanced analytics, (eg statistical analysis, insight-based data visualization) concepts and data acquisition techniques
  • Strong critical thinking 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
  • Ability to manage time and tasks around intense deadlines for clients who work in a time-sensitive industry
  • Balance multiple projects and other responsibilities
  • Highly  proficient with Excel
  • A passion for improving processes so they can be followed easily and lead to excellent results

Preferred Experience:

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

Technical Requirements:

  • Experience working with relational databases (e.g., SQL Server, Oracle), distributed technologies (e.g., Hadoop, Spark) or cloud platforms (e.g., AWS).
  • Experience with data modeling and visualization tools (e.g., Tableau, PowerBI)
  •  Experience in the development of broker-dealer monitoring and control environments. Experience building brokerage compliance platforms (i.e. Actimize, Mantas, etc.) is a plus.

Our Company:

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.

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 diversity, creativity and experience toward 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

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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