Senior Analyst – Production, Audit and Regulatory Support

LPL Financial

. Facilitate and support New Accounts production workflows to ensure work is completed accurately, efficiently, and within service-level expectations .

Posted 4/9/2026full-timeFort Mill/Charlotte • North Carolina • 🇺🇸 United StatesSenior💰 $61,877 - $103,129 per yearWebsite

About the role

Key responsibilities & impact

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
Support internal audits, external audits, and regulatory examinations related to New Accounts Operations
Compile, validate, and maintain documentation, data, and evidence required for audit and regulatory requests
Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes

Requirements

What you’ll need

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
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

Benefits

Comp & perks

401K matching
health benefits
employee stock options
paid time off
volunteer time off

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

data analysisreportingdashboard developmentoperational data managementaudit supportregulatory compliancerisk managementremediation activitiesoperational reportingdocumentation maintenance

Soft Skills

analytical skillsproblem-solvingorganizational skillsattention to detailcommunication skillsstakeholder engagementindependent managementprioritizationadaptabilityconfidence