Senior Analyst - Production, Audit and Regulatory Support
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
_The Senior Analyst – Production, Audit and Regulatory Support plays a critical role within the New Accounts Operations department, part of LPL’s Business Operations organization.
_ _This role is responsible for the facilitation of various business processes, compilation and maintenance of data, and direct support of business management initiatives across the Business Operations organization. The Senior Analyst will support day‑to‑day New Accounts production while acting as a key contributor to audit readiness, regulatory support, and risk management efforts.
_ _The position requires strong analytical, communication, and organizational skills, along with technical reporting knowledge to deliver tools and insights that drive continuous improvement. The ideal candidate is proactive, dynamic, and engaged — someone who enjoys being involved, takes ownership, and confidently liaises with stakeholders at all levels of the firm.
_ Responsibilities:
Production & Operational Support
- Facilitate and support New Accounts production workflows to ensure work is completed accurately, efficiently, and within service-level expectations
- Compile, maintain, and analyze operational data related to volumes, quality, turnaround times, and trends
- Develop and deliver reporting, dashboards, and analytical tools to support business management decisions
- Serve as an escalation point for complex operational issues, contributing to root cause analysis and resolution
- Partner with frontline teams and leadership to drive continuous improvement and efficiency initiatives
Audit & Regulatory Support
- Support internal audits, external audits, and regulatory examinations related to New Accounts Operations and Business Operations processes
- Compile, validate, and maintain documentation, data, and evidence required for audit and regulatory requests
- Track audit findings, issues, and management action plans to ensure timely and effective remediation
- Assist in ensuring procedures and controls align with regulatory requirements and internal policies
Risk Management & Controls
- Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes
- Support the design, documentation, and ongoing monitoring of operational controls
- Participate in risk assessments, issues management activities, and compliance reviews
- Proactively escalate risks and concerns with clear data‑driven analysis and recommendations
Cross‑Functional Collaboration & Communication
- Liaise with Compliance, Legal, Risk, Technology, Finance, and other Operations teams to support regulatory and operational initiatives
- Prepare clear, concise analyses and presentations for senior leadership on operational performance, audit readiness, and risk topics
- Act as a knowledgeable partner and subject matter resource for New Accounts Operations during enterprise initiatives and change efforts
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness , act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
- 6+ years of experience in financial services operations, audit support, regulatory compliance, risk management, or business management support
- 2+ years of experience in responding to audit inquiries and performing remediation activities
Core Competencies:
- Strong analytical, problem‑solving, and organizational skills with high attention to detail
- Experience compiling and maintaining operational or management reporting
- Ability to interpret policies, procedures, and regulatory guidance
- Strong communication skills with the confidence to engage stakeholders at all levels
- Ability to independently manage priorities in a fast‑paced, evolving environment
Preferences:
- Familiarity with New Account opening processes and regulatory requirements (e.g., AML, KYC, CIP, 17-A3)
- Experience supporting audits or regulatory exams within an operations environment
- BETA experience (ACCT, BORD, DAML, etc.)
- Proficiency in Excel, Alteryx, SQL, Tableau or other reporting and data analysis tools
- Bachelor’s degree or equivalent work experience
Pay Range:
$61,877-$103,129/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
- Impactful Work: Our size is just right for you to make a real impact. Learn more here!
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
- Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @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 (855) 575-6947.
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