Analyst, Regulatory Reporting

1 month ago

Tempe, Arizona, United States LPL Financial Full time

Are you a team player, curious to learn, and interested in working in meaningful projects? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Analyst of Regulatory Reporting plays a key role in ensuring the team successfully performs its reporting responsibilities. It is vitally important that LPL Financial has effective reporting on operational and trading data to meet its obligations with the regulators. The Analysts within the team are the primary processors and reviewers of the reporting data. They are expected to perform data analysis, research exceptions, and promptly escalate any issues or concerns as needed. The Regulatory Reporting team works closely with various operational, trading, technology, and service units throughout LPL to ensure accurate and timely data reporting. The team works collectively to ensure reports meet the regulatory requirements and adhere to the audit principals of completeness, accuracy, and timeliness.

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.
  • Monitoring of Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF) through NASDAQ and FINRA.

Responsibilities:

  • Prepare, review, and monitor daily regulatory reporting processes maintaining compliance with internal and regulatory guidelines.
  • Processing all Regulatory Reporting completely, accurately, and timely.
  • Partnering with the Senior Analysts and Management in researching and providing explanations for reporting anomalies.
  • Improving the team's processing acumen by updating Policies & Procedures and cross-training new Analysts.
  • Assisting with 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 want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • 3-5 years of Broker Dealer Operational experience across multiple departments.
  • Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.
  • Intermediate level of proficiency in Excel (vlookup, countifs, pivot tables).
  • Basic knowledge of Microsoft Word, PowerPoint, and SQL Server Management Studio.

Core Competencies:

  • Detail oriented with strong written and verbal communication skills.
  • Ability to work independently and communicate effectively.
  • Have strong analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.

Preferences:

  • Strong data analytical experience with SQL knowledge preferred.
  • Securities Licenses preferred, but not required.

Pay Range:

$25.64-$42.73/hourActual 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 offerWhy LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it's like to work at LPL? Watch this

We take social responsibility seriously. Learn more here

Want to see info on our benefits? 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 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

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