Senior Analyst - Production, Audit and Regulatory Support

LPL Financial•Fort Mill, SC

About The Position

Where Ambition Meets Innovation 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. Job Overview: 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.

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
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

Nice To Haves

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

Responsibilities

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
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
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
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