Risk & Compliance Manager ensuring compliance for the world's largest financial analysis platform, overseeing regulations and internal policies while leading risk assessments.
About the role
- Senior Analyst in audit and regulatory support at LPL Financial. Ensuring operational efficiency and compliance in the New Accounts Operations department.
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
- Support internal audits, external audits, and regulatory examinations related to New Accounts Operations
- Compile, validate, and maintain documentation, data, and evidence required for audit and regulatory requests
- Identify operational risks, control gaps, and compliance vulnerabilities within New Accounts processes
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
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off
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