Associate Analyst – Production, Audit and Regulatory Support

LPL Financial

. Support day to day New Accounts production workflows, ensuring accuracy, efficiency, and adherence to established SLAs .

Posted 5/1/2026full-timeFort Mill • Arizona, North Carolina • 🇺🇸 United StatesJuniorMid-Level💰 $21 - $35 per hourWebsite

Tech Stack

Tools & technologies

SQLTableau

About the role

Key responsibilities & impact

Support day to day New Accounts production workflows, ensuring accuracy, efficiency, and adherence to established SLAs
Monitor, analyze, and report on operational metrics including volume, quality, turnaround time, and trend analysis
Develop and maintain dashboards, reporting, and analytical tools to support management decision making
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
Perform routine data reconciliations and quality checks across systems to ensure data integrity
Support internal audits, external audits, and regulatory examinations related to New Accounts and Business Operations
Compile, validate, and maintain audit and regulatory documentation, data, and evidence
Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes
Support the design, documentation, testing, and monitoring of operational controls
Proactively escalate risks with clear, data driven insights and recommendations

Requirements

What you’ll need

2+ years of experience in an analytical, operational, or support role (within the financial services industry preferred)
Strong analytical and problem-solving skills with attention to detail
Excellent written and verbal communication skills
Ability to work independently and collaboratively in a fast-paced environment
Strong organizational skills and the ability to manage multiple tasks and deadlines effectively
Familiarity with New Account opening processes
BETA experience (ACCT, BORD, DAML, etc.)
Proficiency in Excel, SQL, Tableau or other reporting and data analysis tools
Trend analysis and reporting experience
Basic understanding of financial regulations (e.g., FINRA, SEC) is a plus.
Bachelor's degree in Finance, Business Administration, Information Systems, or a related field.

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 analysistrend analysisdata reconciliationoperational metricsroot cause analysisoperational controlsreportingdashboard developmentfinancial regulationscompliance

Soft Skills

analytical skillsproblem-solving skillsattention to detailwritten communicationverbal communicationorganizational skillsindependent workcollaborative worktime managementcontinuous improvement