Senior Analyst, Regulatory Trade Reporting

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 plays a critical role in supporting the Regulatory Trade Reporting team’s ability to meet its regulatory reporting obligations. Accurate and timely reporting of operational and trading data is essential to LPL Financial, given the high level of oversight from regulators and auditors. This role works closely with the Manager of Regulatory Trade Reporting within the Compliance department to execute daily reporting activities and collaborate with team members. The role is also expected to interact with Legal, Trading, external vendors, technology, and multiple areas within Operations.

Key responsibilities include ensuring the completeness, accuracy, and timeliness of reports submitted to exchanges, self-regulatory organizations, and regulatory bodies. The Senior Analyst also contributes to quality control (QC) reviews and approvals, conducts in-depth research, performs complex data analysis, and prepares for and participates in various meetings. The team operates collaboratively to maintain compliance with regulatory standards and uphold audit principles.

The team executes several firm-wide reporting functions that fulfill LPL’s regulatory responsibilities as a Broker-Dealer and Registered Investment Advisor, including, but not limited to:

• Consolidate Audit Trail (CAT) reporting to FINRA.
• Customer Account Information System (CAIS) reporting to FINRA.
• Large Option Position Reporting (LOPR) filings with the Options Clearing Corporation (OCC).
• Short Interest filings with the Financial Industry Regulatory Authority (FINRA).
• Quarterly Form 13F filings with the Securities and Exchange Commission (SEC).
• Electronic Blue Sheets (EBS) submissions to FINRA.
• Option Position Limit (OPL) and Option Expiration Monitoring (OEM)
• Monitoring of Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF) through NASDAQ and FINRA.
• Annual preparation and submission of FOCUS Schedule I documentation to Finance.

Responsibilities:

• Support the preparation, review, and monitoring of daily regulatory reporting processes maintaining compliance with internal and regulatory guidelines.
• Perform quality control and approval of daily regulatory reporting processes.
• Partner with the Analysts and Management in researching and providing explanations for reporting anomalies.
• Provide support to management during internal and external audits.
• Improving the team’s processing acumen by updating Policies & Procedures and cross-training new Analysts and Sr. Analysts.
• Taking the lead on process improvements by standardizing workflows, developing templates, and partnering with the Technology business unit on more robust automated solutions.
• Maintain control documentation needed for the various internal, external and regulatory reviews.
• Investigate, resolve, and track exceptions that may arise.
• Assist with coordinating the remediation of reporting anomalies.

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:

• 5+ years of Broker Dealer Operational experience across multiple departments, or similar experience.
• Intermediate to advanced level of proficiency in Excel.
• Intermediate knowledge of Microsoft applications, such as VISIO, Word, Access, and PowerPoint.
• Intermediate experience in data analytics using tools such as Alteryx, Snowflake, SQL, and similar platforms.
• FINRA Licensing – SIE + Series 99, or ability to acquire license within 90 days.

Core Competencies:

• Detail oriented with strong written and verbal communication skills.
• Ability to work independently and communicate effectively.
• Have analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.
• Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.

Preferences:

• Advanced Tableau experience developing dashboards and data visualization.
• Advanced Lucid experience creating process flows, diagrams, and visual documentation.
• Bachelor’s degree, certificates or other experience in Business, Economics, Accounting/Finance, project management or data analytics; other areas of focus will be considered.
• FINRA licensing (e.g. Series 7, 24, 63 and 65/66).

Pay Range:

$74,984.00 - $125,042.00Actual 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.

EAC12.9.25