{"id":3421335,"url":"https://alion.io/job/lpl-financial-sr-analyst-surveillance","title":"Sr Analyst, Surveillance","company":{"id":678842,"name":"LPL Financial","domain":"lpl.com","url":"https://alion.io/company/lpl","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"B","score":80,"open_postings":14,"ghost_share":0,"stale_share":0.786,"repost_share":0,"time_to_fill_p50_days":23,"computed_at":"2026-10-29T05:49:05Z"}},"role":"Analytics","role_family":"Analytics","seniority":"senior","employment_type":"full_time","work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Charlotte, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":77765,"max":129677,"currency":"USD","period":"year","gross":null,"usd_annual":129677},"salary_estimate":null,"experience_years_min":3,"visa_sponsorship":false,"relocation_package":false,"has_equity":true,"technologies":[{"name":"Alteryx","optional":false},{"name":"Microsoft Excel","optional":false},{"name":"MS SQL","optional":false},{"name":"Python","optional":false},{"name":"Snowflake","optional":false},{"name":"SQL","optional":false},{"name":"Power BI","optional":true},{"name":"Smartsheet","optional":true},{"name":"Tableau","optional":true}],"status":"live","first_seen_at":"2026-10-28T21:02:18Z","employer_posted_date":"2026-10-28","last_verified_at":"2026-10-29T19:07:01Z","board_verified":true,"closed_at":null,"days_open":1,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":1},"description":"Where Ambition Meets Innovation\nBuild 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.\nJob Overview:\nWe 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.\nResponsibilities:\nDevelop and maintain dashboards and reports that track key Risk and Compliance metrics.\nAnalyze data to identify trends and drivers of assigned risk and oversight areas.\nPrepare reporting and insights for surveillance reviews, business updates, and strategic planning discussions.\nEnsure the accuracy, consistency, and integrity of data used in reporting and analytics.\nPartner with business stakeholders to understand reporting needs.\nRespond to ad hoc data requests and perform analyses to support decision-making.\nIdentify opportunities to improve, automate, and streamline reporting processes.\nDocument reporting methodologies, metric definitions, and data sources.\nContribute to a data-driven culture by delivering insights that help inform business strategy and growth initiatives.\nWhat does success look like?\nWithin the first 12 months, the Sr. Surveillance Analyst will:\nDevelop a solid understanding of LPL’s data environment which currently exists across diverse platforms (Oracle, MS SQL, Snowflake, etc).\nFoster 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\nProvide actionable insights that that improve insight into LPL Financial’s risk posture and influence operational and strategic decisions.\nIdentify opportunities to streamline reporting processes and improve efficiency.\nRequirements:\nEducation: Bachelor’s degree in Business Analytics, Finance, Economics, Statistics, Mathematics, Data Science, Information Systems, or related field.\nExperience: 3-5 years of experience in data analytics and reporting role\n 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).\nCore Competencies:\nAnalytical Thinking: Uses data and critical thinking to identify trends, solve problems, and develop actionable recommendations.\nBusiness Acumen: Understands how performance metrics connect to business objectives, operational efficiency, and growth.\nData Storytelling: Communicates insights effectively through reports, dashboards, presentations, and visualizations.\nAttention to Detail: Ensures accuracy, consistency, and reliability in data analysis and reporting.\nCollaboration: Builds strong relationships and works effectively across teams and functions.\nContinuous Learning: Actively seeks opportunities to improve skills, expand knowledge, and adopt new technologies.\nAccountability: Takes ownership of deliverables and consistently produces high-quality work.\nAdaptability: Thrives in a fast-paced environment and effectively manages changing priorities.\nAdditional Preferences:\nFamiliarity with data analysis tools such as Python, Alteryx, or similar platforms is a plus.\nExperience using Smartsheet to manage data, create reports, track projects, and support business processes is a plus.\nExperience with business intelligence and data visualization tools such as Power BI and Tableau preferred.\nPay Range:\n$77,765.00 - $129,677.00Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!Company Overview:\nLPL 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.\nAt 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.\nFor further information about LPL, please visit www.lpl.com.\nJoin 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.\nInformation on Interviews:\nLPL 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.\nEAC 5.19.26","description_format":"text","description_chars":6465,"description_truncated":false,"requirements":{"experience_years_min":3,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["401k plan","Continuous learning","Stock options"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors","Online Brokerage & Trading Platforms"],"lifecycle":[{"event":"open","at":"2026-10-28T21:02:18Z"}],"visa":[{"country":"US","licensed_sponsor":true,"evidence":"H-1B filings in 12 months: 121 · green card filings: 3","filings_12m":121,"filings_prev_12m":103,"green_card_filings_12m":3,"median_offered_wage_usd":152379,"route":null,"cap_exempt":false,"checked_at":"2026-10-29T16:27:21+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)","US Department of Labor: PERM disclosure data (green cards)"],"filings_for_role_12m":5}],"liveness":{"score":63,"band":"ok","label":"Likely open","p_open":1,"p_active":0.632,"p_room":1,"age_days":0,"expected_fill_days":23,"reasons":["conf:3","stale_co","velocity","win:early","comp:brand"],"computed_at":"2026-10-29T05:49:05Z"},"pay":{"stated_usd_annual":129677,"is_top_pay":true},"html_url":"https://alion.io/job/lpl-financial-sr-analyst-surveillance","json_url":"https://alion.io/job/lpl-financial-sr-analyst-surveillance.json","meta":{"generated_at":"2026-10-30T00:38:03Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":775,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-31T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":678842},"rest":"https://alion.io/mcp/rest/get_company?id=678842"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Flpl-financial-sr-analyst-surveillance"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Flpl-financial-sr-analyst-surveillance"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Flpl-financial-sr-analyst-surveillance"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/lpl-financial-sr-analyst-surveillance\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Flpl-financial-sr-analyst-surveillance"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3421335}},{"tool":"search_jobs","arguments":{"company":"lpl.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3421335},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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