Sr. Compliance Specialist
Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
We are currently looking to hire a Sr. Compliance Specialist on the Advisor Review team in Supervision within the Client Success organization. The Sr. Compliance Specialist will be responsible for coordinating, tracking, and reporting on the compliance review and approval of representatives wishing to join LPL Financial. The Sr. Compliance Specialist will work closely several departments/groups throughout LPL.
- Perform report generation, file preparation and risk level designation.
- Assist with the processing of Onboarding, Outside Business Activity and Marketing Regulatory Reviews for all persons requesting affiliation with LPL Financial
- Assist with data collection and trend identification to drive metrics across the entire Supervision landscape
- Perform other duties and complete ad hoc projects as assigned
- Bachelor's degree or equivalent experience
- 1-2 years industry experience preferred
- Experience with Adobe, all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus
- Ability to work in a fast paced/high volume environment and be flexible with work schedule
- Knowledge of FINRA SEC, and State rules and regulations
- Ability to multi-task, strong attention to detail, strong problem-solving and follow-up skills are essential for this position
- Strong oral and written communication skills
- Strong analytical and research skills
- Highly motivated self-starter
Actual 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!
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
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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 (800) 877-7210.