LPL Financial

Compensation

Full Description

Job Overview: The Senior Analyst, Regulatory Operations position will support the New Accounts Operations team by providing support for AML operational tasks including CIP and other regulatory reporting functions including CAIS reporting. The role also involves various reporting functions, assisting in projects as needed, and other duties as assigned. Responsibilities: Assist in compilation and preparation and analysis of data used for downstream operational processes in accordance with firm policies and standards. Maintain systems, databases, and end user computation tools to ensure data integrity and operational efficiency. Assess business needs, propose and implement appropriate procedures and controls to mitigate risk. Develop and maintain operational readiness checklists, frameworks, and dashboards to track progress and identify gaps. Monitor policy and regulatory requirements and ensure adherence to relevant guidelines, procedures and best practices. Support continuous improvement, automation, and implementation of technologies and tools. Other duties as assigned. Requirements: Bachelor's degree or 3+ years relevant financial services work experience. Preferences: Experience working within the financial services industry (strongly preferred with Back Office experience). Knowledge/experience of AML (specifically CIP) Knowledge/experience of implementing Lean methodologies Proven track record of successfully leading cross functional teams. Demonstrated ability to coach, motivate, and empower others to take action. Excellent written and verbal communication skills. Ability to present ideas clearly, concisely, and persuasively. Highly proficient computer skills with knowledge of Microsoft Office Suite applications (Word, Excel, PowerPoint). BETA, Archer, Smart Sheet, Data visualization tools (ex. Tableau), Data query tools (ex. SQL), MS office suite products, MS Dynamics, Box CAMS certification preferred SIE, Series 6/7/24/99 preferred • Pay Range: $60,075-$100,125/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! 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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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. 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.comemail 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. EAC1.22.25