Data Analyst- Compliance
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.
LPL Financial is currently seeking an Analyst to join our team in Home Office Supervision. The candidate should be driven with excellent communication skills. The candidate must have experience at reviewing large data, perform data analysis, identify data trends, generate reports, and be able to communicate those findings in concise, clear and easy to understand formats.
- Reporting to ensure the department is operating as intended and identify variances immediately to address any issues
- Continually access and identify new risk items within departmental processes
- Department Mailbox monitoring and working with internal departments for any communications to financial advisors, clients, or both.
- Coordinating assignments of OSJs and Advisors to the Regional Supervisory Principals.
- Develop reporting, metrics to track progress with verbal and written communications summarizing key findings
- Create new and improve existing analytics approaches to solve questions around complexity and process simplification in a creative way
- Daily, weekly, monthly, quarterly and ad hoc reporting for management.
- 2-3 years of Financial Industry Experience
- Bachelor’s Degree preferred
- Software/Systems Skills Required: Microsoft Office Suite with advanced skills in Access, Word, Excel and SharePoint.
- Software/Systems Skills Preferred: Oracle, Tableau, ASAT, Salesforce, Visio, Adobe Professional
- Ability to meet strict deadlines with minimal supervision in a fast-paced environment
- Excellent interpersonal skills with the ability to interact with various levels of personnel in addition to encouraging and building positive relationships
- Ability to manage multiple assignments
- Attention to detail and ability to analyze information
- Excellent problem solving skills that affect daily operational matters
- Thorough documentation skills and ability to document new processes
- Must be self-motivated and effectively cope with changing environments
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.
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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.