12 month contract
Tempe, AZ (Hybrid) - MUST BE LOCAL TO ARIZONA!!!
The Analyst of Regulatory Reporting plays a key role in ensuring the team successfully performs its reporting responsibilities. It is vitally important that LPL Financial has effective reporting on operational and trading data to meet its obligations with the regulators. The Analysts within the team are the primary processors and reviewers of the reporting data. They are expected to perform data analysis, research exceptions, and promptly escalate any issues or concerns as needed. The Regulatory Reporting team works closely with various operational, trading, technology, and service units throughout LPL to ensure accurate and timely data reporting. The team works collectively to ensure reports meet the regulatory requirements and adhere to the audit principals of completeness, accuracy, and timeliness.
The team executes several firm-wide reporting functions that fulfill LPL’s regulatory responsibilities as a Broker-Dealer and Registered Investment Advisor, including, but not limited to:
• Consolidate Audit Trail (CAT) reporting to FINRA.
• Customer Account Information System (CAIS) reporting to FINRA.
• Large Option Position Reporting (LOPR) filings with the Options Clearing Corporation (OCC).
• Short Interest filings with the Financial Industry Regulatory Authority (FINRA).
• Quarterly Form 13F filings with the Securities and Exchange Commission (SEC).
• Electronic Blue Sheets (EBS) submissions to FINRA.
• Monitoring of Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF) through NASDAQ and FINRA.
Responsibilities:
• Prepare, review, and monitor daily regulatory reporting processes maintaining compliance with internal and regulatory guidelines.
• Processing all Regulatory Reporting completely, accurately, and timely.
• Partnering with the Senior Analysts and Management in researching and providing explanations for reporting anomalies.
• Improving the team’s processing acumen by updating Policies & Procedures and cross-training new Analysts.
• Assisting with process improvements by standardizing workflows, developing templates, and partnering with the Technology business unit on more robust automated solutions.
• Maintain control documentation needed for the various internal, external and regulatory reviews.
• Investigate, resolve, and track exceptions that may arise.
• Assist with coordinating the remediation of reporting anomalies.
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.
Intermediate level of proficiency in Excel (vlookup, countifs, pivot tables).
Basic knowledge of Microsoft Word, PowerPoint, and SQL Server Management Studio.
Detail oriented with strong written and verbal communication skills.
Ability to work independently and communicate effectively.
Have strong analytical skills and the ability to consult and resolve issues related to data extraction, validation, and report generation.
Strong data analytical experience with SQL knowledge preferred.
Securities Licenses preferred, but not required.
Estimated Min Rate: $14.00
Estimated Max Rate: $25.00
What’s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh’s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh’s extensive talent community that will provide you with access to Yoh’s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
- Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
- Health Savings Account (HSA) (for employees working 20+ hours per week)
- Life & Disability Insurance (for employees working 20+ hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
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