Analyst, Operations Regulatory Reporting
The Analyst plays a key role in ensuring that the Operations Regulatory Reporting (ORR) team successfully performs its reporting responsibilities. It is vitally important that LPL Financial has effective reporting on operations and therefore we are subject to extensive scrutiny from regulators and auditors. The Analysts within the team are the primary processors, while the Senior Analysts primarily perform Quality Control (QC) reviews of the Analysts’ work. The team works collectively to ensure that reports meet the regulatory requirements and adhere to the audit principals of completeness, accuracy, and timeliness.
The ORR team executes a number of firm-wide reporting functions that fulfill LPL Financial’s responsibilities as a Broker-Dealer and Registered Investment Advisor, including:
Analyst Responsibilities Include:
Desired Skills and Experience include:
About LPL Financial:
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.
*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.
Our Culture:
If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.
We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.
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 @lpl.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 (800) 877-7210.
Click the checkbox next to the jobs that you are interested in.
Account Reconciliation Skill
Accounting Management Skill
Bluepoint Operations, Fort Mill, SC
Bluepoint Operations, Fort Mill, SC