Senior Regulatory Trade Reporting Analyst: Data Automation
LPL Financial LLC
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 LLC
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Regulatory Trade Reporting Analyst: Data Automation in Charlotte, TX vacancy
$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$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- ...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
$75.29k - $125.45k
...financial goals. Job Overview The Senior Analyst, Conflicts & Disclosures... ...—including procedures, reporting, training materials, and program... ...on business activities, regulatory changes, and industry practices... ...compliance reviews by coordinating data gathering and supporting...SeniorRegulatoryWork from home$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$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$81.47k - $135.86k
...Root Cause Analysis (RCA) and automation. Sales & Recruiting: Conduct sales... ...teams to resolve issues and report on status. Operational... ...Proactively monitor order flows, trade activity, and platform usage to... ...comparable). Problem‑solving, data storytelling, and ability to influence...SeniorHome office$155.94k - $259.87k
...Management (ALM) domain, with a primary focus on data architecture, domain modeling, and... ...teams to ensure architectures support regulatory expectations, operational transparency, and... ...technical and non‑technical audiences, including senior leadership. What are we looking for? We...RegulatoryContract work$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$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$97.03k - $161.71k
Overview LPL is seeking a Senior Analyst to join its Investment Research department. This individual... ..., interpret, and enhance analytic data on model risk, positioning, factor exposures... ...monitoring, maintaining, and proposing trade considerations and help find...Senior$63.86k - $106.4k
...root‑cause analysis through data and investigation; and supporting... ...program that adheres to all regulatory requirements and firm policy.... ...Training team through reporting. Act as a resource for business... ...key performance indicators for senior leadership and other stakeholders...RegulatoryWork experience placementWork from home$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$22.28 - $37.14 per hour
...calls, client transactions, reports, emails and proactive outreach... ...of 120,000+ clients, ensuring regulatory compliance and a superior... ...: collect and analyze client data, develop and implement solutions... ...Prior financial tele‑sales, trading or call center service experience...RegulatoryWork at office$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 is looking for an aspiring Sr Analyst to join their Digital Enablement Team in Fort Mill, South Carolina. This role will focus on creating innovative data analytics solutions to inform product strategy and improve performance through data insights. The...Senior
LPL Financial
Charlotte, TX1 hour ago - 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
$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- LPL Financial LLC is seeking an experienced Senior Vice President for Workforce Transformation. This critical role will lead efforts... ...enterprise transformations through innovative strategies such as AI and automation. Key responsibilities include developing change management...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$81.47k - $135.86k
LPL Financial LLC is seeking an experienced professional to enhance processes and manage relationships in investment products. You will conduct sales presentations, optimize processes, and navigate operations to ensure high advisor satisfaction while collaborating with ...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
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 Analyst for Conflicts & Disclosures in Fort Mill, South Carolina. This role involves supporting the Conflicts of Interest and Disclosures Management programs within compliance, requiring strong analytical skills and attention to detail...Senior
- Jones Lang LaSalle Incorporated is seeking a Director of Development and Project Entitlements based in Charlotte, NC. This senior-level position requires a minimum of 15 years of experience in retail and commercial development. The successful candidate will provide expertise...SeniorRemote job
- LPL Financial LLC is seeking an AML Assurance Senior Analyst to assist in providing oversight for AML programs. This role involves conducting quality assurance reviews across AML, Fraud, and OFAC functions to ensure compliance with regulations like BSA and USA PATRIOT...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- EmergencyMD is seeking a Sr. Civil Engineering Project Manager to oversee airport projects from proposal to construction. Responsibilities include managing project documentation, coordinating with engineers, and mentoring junior staff. The role requires extensive experience...Senior
- LPL Financial LLC is seeking a Senior Analyst to join its Investment Research department in Fort Mill, South Carolina. This role involves key responsibilities in the Outsourced Chief Investment Officer program, including investment analysis and asset allocation. The ideal...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Regulatory Trade Reporting Analyst: Data Automation. Be the first to apply!
Related searches
- senior purchasing analyst Charlotte, TX
- senior performance tester Charlotte, TX
- senior financial analyst fp&a Charlotte, TX
- senior analyst Charlotte, TX
- senior implementation project manager Charlotte, TX
- senior performance engineer Charlotte, TX
- senior Charlotte, TX
- senior level Charlotte, TX
- senior database analyst Charlotte, TX
- regulatory Charlotte, TX