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Analyst, Compliance

LPL Financial

LPL Financial

IT, Legal
Fort Mill, SC, USA · Charlotte, NC, USA · Fort Mill, SC, USA · Charlotte, NC, USA
Posted on Thursday, June 6, 2024

Are you a team player? Are you curious to learn? Are you interested in working on 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!

Excited to learn more? If so, then this could be the role for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

LPL’s Compliance organization is currently looking for a Compliance Analyst within the Control Room. If you are an individual who has a drive to deliver exceptional results, be part of a highly motivated team and are passionate about the work you do, this may be the right role for you!

The Analyst will be a key member of the team ensuring both LPL employees and advisors are adhering to SEC and FINRA regulatory requirements related to our firms Code of Ethics, Personal Trading Policies, Pay to Play and other regulatory requirements.

Responsibilities:

The Analyst will review submissions from advisors and employees to ensure compliance with LPL Policy. The candidate will play a critical role in ensuring LPL is meeting certain regulatory requirements. Responsibilities of the Analyst include, but are not limited to:

  • Perform comprehensive reviews of personal trading accounts disclosed by associated persons of LPL to ensure compliance with our Outside Investment Account and Personal Trading Policies.

  • Work directly with broker dealers to ensure we have appropriate electronic data feeds set up or duplicate statements where applicable for personal trading accounts held away from LPL.

  • Partner with OSJs, financial advisors and LPL managers to ensure new LPL advisors and employees are completing their required compliance attestations and meeting regulatory requirements.

  • Review Political Contribution requests to ensure compliance with LPL Policy, SEC and FINRA Pay to Play Rules.

  • Maintain awareness of the industry news, and changes in the business or regulatory landscape, firm policies and department processes.

  • Drive updates to policies and procedures to enhance our controls, identify gaps and improve the advisor experience.

  • Perform other duties as assigned, including special projects, regulatory research and reporting

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:

  • Bachelor’s degree

  • 2+ years of financial services industry experience

  • Proficiency with Microsoft Office applications

Preferences:

  • FINRA licenses, other industry certifications or designations preferred

  • Excellent written and oral communication skills

  • High level of analytical and problem-solving skills

  • Ability to learn quickly and think strategically with attention to detail and quality assurance

  • Self-motivator who can multitask and work well within a team atmosphere


Pay Range:

$56,400-$84,600/year


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!


Why LPL?

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.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

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.