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 LPL Financial
$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$78.38k - $130.71k
...Senior Internal Auditor Job Description: We are currently looking to hire a Senior Internal... ...adequate audit coverage. Test and report on the adequacy and effectiveness of management... ...Services (Broker/Dealer or RIA) regulatory compliance, and demonstrated ability to...SeniorRegulatoryCurrently hiring$62.73k - $104.55k
...complex products, ensures adherence to regulatory and firm requirements, and provides project... ..., structured products, exchange‑traded products, variable annuity liquidations... ...questionable sales activity and work with a Senior Analyst or Manager on resolution. Stay current...RegulatoryFlexible hours$147.39k - $245.66k
...Technology Governance program and team reporting within the Cyber Security organization.... ...program framework to include industry, regulatory and audit testing requirements; align and... ...tools and resources including automation. Take accountability for remediation items...RegulatoryWork from homeShift work- ...Compliance Officer to ensure compliance in marketing communications across channels. The ideal candidate will have a robust background in regulatory requirements and experience in leading compliance strategies. This role involves partnering with various departments to enhance...Regulatory
$128.75k - $214.65k
...The Vice President, People M&A Lead is a senior People leader responsible for owning and... ...frameworks to ensure consistent execution, regulatory compliance, and risk mitigation across... ...manage people risks, interdependencies, and trade‑offs throughout the integration lifecycle...Regulatory- ...Associates-P is seeking a Provider Enrollment & Credentialing Specialist to manage provider credentialing and ensure compliance with regulatory standards. This hybrid role requires strong attention to detail and effective communication as you handle enrollments for...Regulatory
$78.38k - $130.71k
LPL Financial LLC is seeking a Senior Internal Auditor to participate in compliance-related internal audits and conduct process reviews. The successful candidate will lead audits, mentor junior staff, and ensure adherence to audit standards. With 3-6 years of relevant...Senior$104.96k - $175k
...serve as the secretary of the Regulatory Compliance Risk Committee (... ...NORC, including consulting with Senior Leadership to guide them... ...Senior Leadership. Leverage data to define project goals, identify... ...leadership. Develop dashboards, reports, and presentations to...RegulatoryWork experience placement$109.28k - $182.1k
...driven products—leveraging automation and AI where it... ...Operations, Technology, Data, and Risk leaders, this... ..., risks, and trade‑offs to ensure timely... ...governance through transparent reporting on progress, benefits... ...delivering solutions that meet regulatory, risk, and compliance...RegulatoryWork from home- ...Ensure monthly reconciliations are completed timely and that state audits result in zero deficiencies Uphold HIPAA and all regulatory standards across systems and processes Performance & Continuous Improvement Evaluate prior BOM performance and provide actionable...RegulatoryWork at office
$135.75k - $226.19k
...channels, ensuring alignment with regulatory requirements, internal... ...Serve as a trusted advisor to senior executives on regulatory risk... ...scalable systems, tools, and automation to enhance monitoring and compliance... ...effectiveness. Champion data‑driven decision‑making and...Regulatory$127.51k - $212.49k
...processes, ensuring alignment with business, regulatory, and operational requirements. Provide... ...managing vendors supporting regulated trading environments. Experience across cloud,... ...enterprise mindset capable of influencing senior technology and business leaders....RegulatoryContract workShift work- ...to support ongoing compliance with organizational, payor, and regulatory requirements. This position requires integrity, attention to detail... ...requests, and routine payor or facility matters. Prepare reports, status updates, and tracking logs related to credentialing,...RegulatoryFull timeWork at office2 days per week3 days per week
$128.75k - $214.65k
LPL Financial LLC is seeking a Vice President, People M&A Lead. This senior role involves owning the People M&A strategy and leading integration for acquisitions of all sizes. The ideal candidate has over 10 years of HR leadership experience and a proven track record in...Senior- LPL Financial LLC in Charlotte, Texas, is seeking a TAMP Consultant to work closely with financial advisors. This role focuses on enhancing the use of LPL’s Advisory platforms and partnering with Client Success Managers to drive business growth. The ideal candidate will...Senior
$112.48k - $187.46k
LPL Financial LLC in Fort Mill is looking for a dynamic Recovery Manager to take on a pivotal role as an Assistant Vice President (AVP). This position entails leading recovery efforts during major incidents while driving high-quality outcomes. You'll collaborate across ...Senior$99.09k - $165.11k
LPL Financial LLC is seeking a Transition Manager to lead the administrative transition experience for financial advisors. This role is essential in ensuring a well-orchestrated and seamless transition process that involves collaboration with advisors, internal teams, and...Senior- ...remediate deficiencies Participates in the development of information security strategies, roadmaps, policies, and standards Ensures systems and applications are implemented with compensating controls to meet regulatory requirements (GLBA, SOX, HIPAA, FFIEC, etc....Regulatory
- LPL Financial LLC in Charlotte, Texas, seeks a Senior Vice President, People Business Partner to partner with the CIO and drive meaningful organizational transformation. This role demands strategic HR expertise in a technology-focused environment. The ideal candidate will...Senior
- LPL Financial LLC is seeking a Vice President II for Product Management in Identity & Access Management (IAM) to drive product strategy and lead high-impact initiatives. This role requires expertise in product management, technology, and user experience to influence enterprise...Senior
$109.28k - $182.1k
LPL Financial LLC is seeking an Assistant Vice President for Advisor AI Solutions in Fort Mill, SC. This role leads product management for advisor-facing AI experiences, ensuring measurable business impact while collaborating with Technology and Operations. The ideal candidate...Senior- LPL Financial LLC is seeking a Senior Project Manager to oversee real estate project execution for its advisor portfolio. This role involves managing liquidity and succession transactions, ensuring alignment with LPL standards. The ideal candidate will have a Bachelor’...Senior
$109.28k - $182.1k
...Operations. The successful candidate will handle the end-to-end execution of initiatives aimed at creating scalable, compliant, automation-led products while ensuring measurable operational improvements. Ideal for strong collaborators with 6+ years in product management...Senior- LPL Financial LLC is seeking an Architecture Manager to join their Enterprise Architecture organization. In this senior leadership role, you will oversee the development of high-impact solutions in alignment with the company's business strategy. The ideal candidate will...Senior
- ...dedicated Financial Planning & Analysis professional in Charlotte, Texas. In this role, you will lead financial analysis, forecasts, and reporting to support management decisions. You will work with cross-functional teams to deliver effective financial presentations and...Senior
- LPL Financial LLC in Charlotte, Texas, is seeking a Principal Business Information Security Officer to manage the security needs of their advisors and clients. The role involves collaborating with stakeholders to ensure security while driving innovation. The ideal candidate...SeniorFull time
- Cintas is seeking a Maintenance Supervisor in Charlotte, TX to lead all maintenance activities at our facilities. The role involves improving equipment functionality, managing maintenance schedules, and overseeing a team of maintenance professionals. The ideal candidate...Senior
$76.94k - $128.24k
...LPL Financial’s Financial Planning & Analysis (FP&A) team. As a trusted business partner, you will lead analysis, forecasts, and reporting to help our management team make informed decisions. Responsibilities Work closely with cross‑functional business partners to understand...Senior- LPL Financial LLC is seeking a Senior Engineer for the Middleware team to enhance the Kong AI Gateway platform. This role emphasizes collaboration with Product and Technology teams, hands-on engineering work, and defining solutions for seamless AI integrations. The ideal...Senior
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