Senior Analyst - Production, Audit And Regulatory Support

Senior Analyst – Production, Audit and Regulatory Support

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.

The Senior Analyst – Production, Audit and Regulatory Support plays a critical role within the New Accounts Operations department, part of LPL's Business Operations organization.

This role is responsible for the facilitation of various business processes, compilation and maintenance of data, and direct support of business management initiatives across the Business Operations organization. The Senior Analyst will support day‑to‑day New Accounts production while acting as a key contributor to audit readiness, regulatory support, and risk management efforts.

The position requires strong analytical, communication, and organizational skills, along with technical reporting knowledge to deliver tools and insights that drive continuous improvement. The ideal candidate is proactive, dynamic, and engaged — someone who enjoys being involved, takes ownership, and confidently liaises with stakeholders at all levels of the firm.

Responsibilities:

Production & Operational Support

• 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
• 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

Audit & Regulatory Support

• Support internal audits, external audits, and regulatory examinations related to New Accounts Operations and Business Operations processes
• Compile, validate, and maintain documentation, data, and evidence required for audit and regulatory requests
• Track audit findings, issues, and management action plans to ensure timely and effective remediation
• Assist in ensuring procedures and controls align with regulatory requirements and internal policies

Risk Management & Controls

• Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes
• Support the design, documentation, and ongoing monitoring of operational controls
• Participate in risk assessments, issues management activities, and compliance reviews
• Proactively escalate risks and concerns with clear data‑driven analysis and recommendations

Cross‑Functional Collaboration & Communication

• Liaise with Compliance, Legal, Risk, Technology, Finance, and other Operations teams to support regulatory and operational initiatives
• Prepare clear, concise analyses and presentations for senior leadership on operational performance, audit readiness, and risk topics
• Act as a knowledgeable partner and subject matter resource for New Accounts Operations during enterprise initiatives and change efforts

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:

• 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

Core Competencies:

• 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

Preferences:

• Familiarity with New Account opening processes and regulatory requirements (e.g., AML, KYC, CIP, 17-A3)
• Experience supporting audits or regulatory exams within an operations environment
• BETA experience (ACCT, BORD, DAML, etc.)
• Proficiency in Excel, Alteryx, SQL, Tableau or other reporting and data analysis tools
• Bachelor's degree or equivalent work experience

Pay Range: $61,877-$103,129/year Actual 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!