Associate Analyst - Production, Audit and Regulatory Support

LPL Financial • Fort Mill, SC

1d

About The Position

The Associate Analyst - Production, Audit and Regulatory Support at LPL Financial Corp will contribute to the efficient operation of various production processes, provide essential support during internal and external audits, and assist with regulatory compliance activities. This role involves data analysis, documentation, and collaborative efforts to ensure operational integrity and adherence to industry standards.

Requirements

• 2+ years of experience in an analytical, operational, or support role (within the financial services industry preferred.)
• Strong analytical and problem-solving skills with attention to detail.
• Excellent written and verbal communication skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• Strong organizational skills and the ability to manage multiple tasks and deadlines effectively.

Nice To Haves

• Familiarity with New Account opening processes
• BETA experience (ACCT, BORD, DAML, etc.)
• Proficiency in Excel, SQL, Tableau or other reporting and data analysis tools
• Trend analysis and reporting experience
• Basic understanding of financial regulations (e.g., FINRA, SEC) is a plus.

Responsibilities

• Support day to day New Accounts production workflows, ensuring accuracy, efficiency, and adherence to established SLAs
• Monitor, analyze, and report on operational metrics including volume, quality, turnaround time, and trend analysis
• Develop and maintain dashboards, reporting, and analytical tools to support management decision making
• 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
• Perform routine data reconciliations and quality checks across systems to ensure data integrity
• Support internal audits, external audits, and regulatory examinations related to New Accounts and Business Operations
• Compile, validate, and maintain audit and regulatory documentation, data, and evidence
• Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes
• Support the design, documentation, testing, and monitoring of operational controls
• Proactively escalate risks with clear, data driven insights and recommendations

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level