Senior Regulatory Trade Reporting Analyst: Data Automation
LPL Financial
LPL Financial LLC is seeking a Senior Analyst to support the Regulatory Trade Reporting team. This role involves preparing daily regulatory reports and collaborating with various teams to ensure compliance. The ideal candidate has over 5 years of Broker-Dealer Operational experience and should possess strong data analytics skills, particularly with tools like Alteryx and SQL. The position offers a competitive salary range based on skills and experience. #J-18808-Ljbffr
$74.98k - $125.04k
Job Overview Senior Analyst plays a critical role in supporting the Regulatory Trade Reporting team’s ability to meet regulatory reporting... ...of operational and trading data is essential to the firm, given... ...business unit to implement automated solutions. Maintain control...SeniorRegulatory$74.98k - $125.04k
...Senior Analyst Where ambition meets innovation Build a career... ...critical role in supporting the Regulatory Trade Reporting team's ability to meet its... ...operational and trading data is essential to LPL... ...business unit on more robust automated solutions. Maintain control...SeniorRegulatoryWork from home- ...NR Consulting is seeking a skilled Trade Compliance Specialist in Fort Mill, SC, with hybrid work flexibility. The role involves managing compliance processes for international imports and exports, ensuring adherence to regulations, and leading training initiatives. Ideal...Senior
$20.85 - $34.71 per hour
...a Lead Operations Specialist to play a crucial role in brokerage operations, acting as a senior subject-matter expert in cash and securities transactions. You will oversee trade corrections, reconciliations, and provide high-level customer support, dedicating your expertise...SeniorHourly pay- ...Position: Senior Product Owner – FinTech Location: Fort Mill, SC... ...Incedo is a US-based consulting, data science and technology... ...technology, banking, payments, trading, lending, wealth/asset management... ...and continuous improvement. Regulatory & Compliance Awareness —...SeniorRegulatoryFull time
$20.85 - $34.71 per hour
...within the Mutual Fund Trade Corrections... ...LPL Financial. This senior, subject‑matter expert... ...producing daily reports. The Lead focuses... ...and team analysts to complete regularly... ...with corporate and regulatory policies and procedures... ..., multitasking, data entry, and email communication...RegulatoryHourly payWork experience placementWork at office$20.85 - $34.71 per hour
...as a tenured and senior processing-level subject... ...the Mutual Fund Trade Corrections... ...and producing daily reports. The Lead Operations... ...management and team analysts to complete... ...with corporate and regulatory policies; reconcile... ...operational processes and data input platforms....RegulatoryHourly payWork experience placementWork at officeWork from home$115k - $125k
...Corporate Trade Compliance Manager Legacy Talent Search is currently seeking candidates for a Corporate Trade Compliance Manager... ...drive efficient international import operations while ensuring regulatory compliance. Key Responsibilities: • Manage day-to-day U.S....Regulatory- ...Senior Loss Analysis Specialist The Senior Loss Analysis... ...statutory compliance, regulatory compliance, and company... ...Analysis Specialist reports to the AVP-Loss... ...documents, and performing data analysis. The noise... ...into a leading publicly traded residential mortgage real...SeniorRegulatoryWork at office
$75.29k - $125.45k
LPL Financial LLC seeks a Senior Analyst focused on Compliance and Information Lifecycle Management based in Fort Mill, SC. In this role, you will oversee regulatory books and records requirements while helping to mitigate operational and regulatory risks. The right candidate...SeniorRegulatory- RoundPoint Mortgage Servicing LLC is seeking a Senior Loss Analysis Specialist based in Fort Mill, SC. This role involves managing the... ...review of claims, ensuring compliance with statutory and regulatory guidelines, and maintaining a culture of collaboration and customer...SeniorRegulatory
- ...operational risk remediation, regulatory compliance, resiliency... ..., making pragmatic trade-offs. Act as a hands... ...build PoCs. Drive data-intensive and calculation... ...or GenAI adoption for automation and operational... ...Solutions Architect / Senior Technical Lead in complex...SeniorRegulatory
- ...Financial LLC in Fort Mill is seeking a Lead Operations Specialist responsible for managing brokerage operations within the Mutual Fund Trade Corrections department. The role requires at least 3 years of financial industry experience, along with strong problem-solving,...SeniorWork at office
$80.86k - $134.83k
...Governance team at LPL is seeking Senior Analyst to assist in the ongoing... ...including financial, compliance and regulatory components and develop... ...the initiative and at “go live”Report on the status of various... ...related to financial reporting and data flowsDemonstrated experience...SeniorRegulatoryWork from home- ...cultivate client relationships. What You Will Be Doing Hands on Senior SQL Database Administrator responsible for the secure design,... ...audit evidence for: SOX / internal audits Security assessments Regulatory reviews Equal Opportunity Employer Associate Staffing is an Equal...SeniorRegulatory
- Yoh Services LLC is seeking a Senior SQL Database Administrator for a 12+ month contract located in Fort Mill, SC, offering a hybrid... ...policies. Candidates must possess strong SQL Server skills and a solid understanding of regulatory controls. #J-18808-Ljbffr Yoh Services LLCSeniorRegulatoryContract work
- ...Job Title: Senior Accountant Location: Ft Mill, South Carolina Full-time with Benefits... ...oversee key aspects of the financial reporting, maintain the general ledger, and... ...prepare schedules, and ensure compliance with regulatory requirements Process Improvement -...SeniorRegulatoryFull time
- ...Senior Product Owner - Payments Platform Location: Fort Mills , SC (Hybrid) The customer is seeking a Senior Product Owner... ...products that fully account for real-world payment exceptions, regulatory constraints, and operational risk . Specifically, the...SeniorRegulatoryRemote work
$75.68k - $126.13k
...Senior Compliance Surveillance Analyst What if you could build a career where ambition... ...thorough reviews of exception reports to detect and address... ...Evaluate the historical trading activity of advisors flagged... ...of industry news, regulatory changes, and firm policies...SeniorRegulatoryWork from home- ...our Mission Zero initiative. Senior EHS Specialist The Senior EHS... ...hygiene programs, including data analysis, corrective actions,... ...procedures, ensuring alignment with regulatory requirements and corporate... ...that are not direct reports. Ability to gain buy-in for EHS...SeniorRegulatoryLocal areaWorldwideAll shiftsFlexible hours
$17.23 - $28.72 per hour
...activities. This role serves as a senior individual contributor and... ...with SQL queries, MFSC reporting, supporting Manager Select accounts... ...with firm policies and regulatory requirements.Responsibilities... ...requests, operational issues, and data-related inquiries with...SeniorRegulatoryWork from home- ...Qode is seeking a Senior Business Systems Analyst in Fort Mill, SC or New York, NY. This hybrid position focuses on translating business needs into... ...Responsibilities include stakeholder engagement, requirements documentation, and data-driven decision support. #J-18808-Ljbffr...Senior
- ...Data Engineering And AI Strategy Validator Support the Data Engineering and AI Strategy teams by validating metadata ingestion outputs, analyzing lineage completeness, and creating Power BI reports that summarize lineage coverage and modernization insights for business...Senior
$56 per hour
...Senior SQL Database Administrator 12+ month contract Fort Mill, SC (Hybrid)... ...ensure compliance with internal policies and regulatory requirements. Key Responsibilities *... ...reviews, activity monitoring, and sensitive data access validation. * Partner with Internal...SeniorRegulatoryContract work$56 per hour
...Senior Oracle & NoSQL Database Administrator 12+ month contract Fort Mills, SC... ...Privileged activity monitoring o Sensitive data access validation * Partner with Internal... ...evidence for SOX, internal controls, and regulatory assessments. * Strengthened database...SeniorRegulatoryContract work- ...A leading automation solutions provider is seeking a Senior Developer specializing in Azure with .NET and ReactJS in Fort Mill, SC. The successful candidate will design and implement engineering back-end systems, manage timelines, and ensure software quality. Strong experience...SeniorContract work
- A leading healthcare technology company is seeking a Senior In-House Litigation Attorney to join their legal team. The role involves managing complex litigation, advising on regulatory issues, and ensuring compliance with legal frameworks. Candidates should have a JD and...SeniorRegulatoryRelocation package
- ...A leading automation solutions company in Fort Mill, South Carolina is seeking a skilled developer with expertise in C# and .NET Framework Core. The role involves leading the development of high-performance applications, architecting secure RESTful APIs, and optimizing...Senior
- A leading engineering firm in Pineville, NC is seeking a Senior Project Manager to oversee construction materials testing projects. This... ...teams, developing project plans, and ensuring compliance with regulatory standards. Competitive salary and benefits offered. #J-18808-...SeniorRegulatory
- ...sustainable infrastructure. Responsibilities include managing project scope, schedule, and budget while ensuring compliance with regulatory standards. Ideal candidates will possess a bachelor's degree in Civil Engineering, extensive experience in the field, and strong...SeniorRegulatory
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