Sr Analyst, Surveillance

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

We are seeking an analytical, detail-oriented, and highly motivated Senior Data Analyst to join the firm’s Surveillance Organization. This role will be responsible for building, maintaining, and enhancing metrics, dashboards, and reporting that enable the team to effectively manage risk, report results to senior leaders, and inform strategic business decisions.

Responsibilities:

• Develop and maintain dashboards and reports that track key Risk and Compliance metrics.
• Analyze data to identify trends and drivers of assigned risk and oversight areas.
• Prepare reporting and insights for surveillance reviews, business updates, and strategic planning discussions.
• Ensure the accuracy, consistency, and integrity of data used in reporting and analytics.
• Partner with business stakeholders to understand reporting needs.
• Respond to ad hoc data requests and perform analyses to support decision-making.
• Identify opportunities to improve, automate, and streamline reporting processes.
• Document reporting methodologies, metric definitions, and data sources.
• Contribute to a data-driven culture by delivering insights that help inform business strategy and growth initiatives.

What does success look like?

Within the first 12 months, the Sr. Surveillance Analyst will:

• Develop a solid understanding of LPL’s data environment which currently exists across diverse platforms (Oracle, MS SQL, Snowflake, etc).
• Foster collaborative relationships within the broader Compliance Monitoring and Testing organization to gain in-depth knowledge of investment products and the processes, controls, and surveillance activities employed to oversee business practices and compliance risks
• Provide actionable insights that that improve insight into LPL Financial’s risk posture and influence operational and strategic decisions.
• Identify opportunities to streamline reporting processes and improve efficiency.

Requirements:

• Education: Bachelor’s degree in Business Analytics, Finance, Economics, Statistics, Mathematics, Data Science, Information Systems, or related field.
• Experience: 3-5 years of experience in data analytics and reporting role
• Technical Skills: Proficiency in Microsoft Excel - including formulas, lookups, pivot tables, and data analysis techniques. Intermediate knowledge of SQL and relational databases required (JOINS, CTEs, sub-queries).

Core Competencies:

• Analytical Thinking: Uses data and critical thinking to identify trends, solve problems, and develop actionable recommendations.
• Business Acumen: Understands how performance metrics connect to business objectives, operational efficiency, and growth.
• Data Storytelling: Communicates insights effectively through reports, dashboards, presentations, and visualizations.
• Attention to Detail: Ensures accuracy, consistency, and reliability in data analysis and reporting.
• Collaboration: Builds strong relationships and works effectively across teams and functions.
• Continuous Learning: Actively seeks opportunities to improve skills, expand knowledge, and adopt new technologies.
• Accountability: Takes ownership of deliverables and consistently produces high-quality work.
• Adaptability: Thrives in a fast-paced environment and effectively manages changing priorities.

Additional Preferences:

• Familiarity with data analysis tools such as Python, Alteryx, or similar platforms is a plus.
• Experience using Smartsheet to manage data, create reports, track projects, and support business processes is a plus.
• Experience with business intelligence and data visualization tools such as Power BI and Tableau preferred.

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26