Senior Analyst, Regulatory Trade Reporting

Job Overview Senior Analyst plays a critical role in supporting the Regulatory Trade Reporting team’s ability to meet regulatory reporting obligations. Accurate and timely reporting of operational and trading data is essential to the firm, given the high level of oversight from regulators and auditors. This analyst works closely with the Manager of Regulatory Trade Reporting within the Compliance department to execute daily reporting activities and collaborates with team members, Legal, Trading, external vendors, technology, and multiple areas within Operations. Responsibilities Support the preparation, review, and monitoring of daily regulatory reporting processes, ensuring compliance with internal and regulatory guidelines. Perform quality control and approval of daily regulatory reporting processes. Partner with Analysts and Management to research and explain reporting anomalies. Provide support to management during internal and external audits. Update Policies & Procedures and cross‑train new Analysts and Sr. Analysts to improve processing acumen. Lead process improvements by standardizing workflows, developing templates, and working with the Technology business unit to implement automated solutions. Maintain control documentation required for internal, external, and regulatory reviews. Investigate, resolve, and track exceptions that may arise. Assist with coordinating remediation of reporting anomalies. Qualifications 5+ years of Broker‑Dealer Operational experience across multiple departments, or equivalent experience. Proficiency with Excel and Microsoft applications (Visio, Word, Access, PowerPoint). Experience in data analytics using tools such as Alteryx, Snowflake, SQL, and similar platforms. FINRA licensing – SIE + Series 99, or ability to acquire the license within 90 days. Detail‑oriented with strong written and verbal communication skills. Ability to work independently, communicate effectively, and work well under pressure. Analytical skills and ability to consult and resolve issues related to data extraction, validation, and report generation. Ability to prioritize and multi‑task in a deadline‑driven environment. Preferences Advanced Tableau experience developing dashboards and data visualization. Advanced Lucid experience creating process flows, diagrams, and visual documentation. Bachelor’s degree, certificates, or other experience in Business, Economics, Accounting/Finance, project management or data analytics. Additional FINRA licenses (Series 7, 24, 63, 65/66). Pay Range $74,984.00 – $125,042.00 (base salary varies by skill, experience, education, peers, performance, and location). The total compensation package is competitive and includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Benefits The firm offers a comprehensive Total Rewards package, including 401(k) matching, health and dental benefits, life insurance, paid time off, volunteer time off, and opportunities for professional development. EEO Statement Principals only. Equal Opportunity Employer. #J-18808-Ljbffr LPL Financial LLC