Sr Analyst, Compliance Jobs

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 20,000 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.

Job Overview:

This Sr. Analyst position will be responsible for managing and analyzing data sets from numerous applications in order to support the Supervision and Surveillance controls journey, with a focus on regulatory and scale deliverables. The role will also be responsible for ongoing monitoring of processes and workflows with the goal of identifying opportunities to gain efficiency and support risk mitigation. The Sr. Analyst will work with all levels of staff within various business units of LPL Financial.

Responsibilities:

• Address incoming technology concerns and observations.
• Research, analyze, and recommend data solutions to meet business needs.
• Serve as a technology liaison in support of supervision technologies between development team, business stakeholders, and outside partners.
• Analyze data and develop strategies to reduce risk and improve business results.
• Identify and manage data issues, risks, and opportunities to improve reporting capabilities.

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.

Requirements:

• Bachelor’s Degree, preferably in MIS/Computer Science, Mathematics, Statistics, Economics, or Finance, or equivalent work experience.
• 5+ years related work experience.

Core Competencies:

• Strong written and verbal communication skills with both technical and non-technical audiences.
• Ability to review and interpret data conditions, translate into recommendations, and develop and implement technical solutions.
• Experience with SQL

Preferences:

• Knowledge of Compliance and Risk functions within a Broker/Dealer and Investment Advisory organization.
• Experience working within a broker/dealer environment with a technology, compliance, or risk background
• General awareness of SEC, FINRA, and MSRB rules and concepts.
• Experience with Tableau and/or similar applications.

Pay Range:

$84,280-$126,420/year

The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.

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.

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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.