LPL Financial

Senior Analyst – Production, Audit and Regulatory Support

LPL Financial

full-time

Posted on:

Location Type: Office

Location: Fort Mill/Charlotte • North Carolina • United States

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Salary

💰 $61,877 - $103,129 per year

Job Level

Senior

About the role

  • 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

  • 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
  • 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 & Tools
data analysisreportingdashboard developmentoperational data managementaudit supportregulatory compliancerisk managementremediation activitiesoperational reportingdocumentation maintenance
Soft Skills
analytical skillsproblem-solvingorganizational skillsattention to detailcommunication skillsstakeholder engagementindependent managementprioritizationadaptabilityconfidence