Senior Analyst, Regulatory Operations
LPL Financial
full-time
Posted on:
Location Type: Office
Location: Fort Mill • North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $60,075 - $100,125 per year
Job Level
Senior
Tech Stack
SQLTableau
About the role
- Assist in compilation and preparation and analysis of data used for downstream operational processes in accordance with firm policies and standards.
- Maintain systems, databases, and end user computation tools to ensure data integrity and operational efficiency.
- Assess business needs, propose and implement appropriate procedures and controls to mitigate risk.
- Develop and maintain operational readiness checklists, frameworks, and dashboards to track progress and identify gaps.
- Monitor policy and regulatory requirements and ensure adherence to relevant guidelines, procedures and best practices.
- Support continuous improvement, automation, and implementation of technologies and tools.
- Other duties as assigned.
Requirements
- Bachelor’s degree or 3+ years relevant financial services work experience.
- Experience working within the financial services industry (strongly preferred with Back Office experience).
- Knowledge/experience of AML (specifically CIP).
- Knowledge/experience of implementing Lean methodologies.
- Proven track record of successfully leading cross functional teams.
- Demonstrated ability to coach, motivate, and empower others to take action.
- Excellent written and verbal communication skills.
- Ability to present ideas clearly, concisely, and persuasively.
- Highly proficient computer skills with knowledge of Microsoft Office Suite applications (Word, Excel, PowerPoint).
- BETA, Archer, Smart Sheet, Data visualization tools (ex. Tableau), Data query tools (ex. SQL), MS office suite products, MS Dynamics, Box.
- CAMS certification preferred.
- SIE, Series 6/7/24/99 preferred.
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
data analysisdata integrityoperational efficiencyLean methodologiesdata visualizationSQLMicrosoft Office Suiteoperational readiness checklistsdashboardsrisk mitigation
Soft skills
leadershipcoachingmotivationcommunicationpresentation skillscross-functional teamworkproblem-solvingcontinuous improvementpersuasivenessorganizational skills
Certifications
CAMSSIESeries 6Series 7Series 24Series 99