Analyst, Advisor ReviewApply Job ID: R-001875 Date posted: 12/31/2017 Primary Location CA-San Diego Other Locations SC-Fort Mill
We are currently looking to hire an Advisor Review Analyst within the Advisor Review department, which is a part of LPL’s Compliance, Legal & Risk (CLR) organization. This position is responsible for the review and approval of Representatives wishing to join LPL Financial. This position works closely with many departments throughout the on-boarding process: Recruiting, Branch Development, New Client Onboarding and Registration Services.
- Bachelor’s degree in Business related field or equal experience
- Minimum of 3-5 years of previous securities industry experience, directly in a compliance or supervision related function
- Series 7 & 24 required
- Series 63 and 65 (or 66) are preferred
- Series 3, Variable Life and Annuity Licenses a plus
- Ability to function cooperatively, and build consensus on supervision issues among managers, employees, representatives and senior levels of management with minimal oversight
- Excellent oral and written communication skills
- Ability to meet deadlines in a fast-paced environment
- Very strong analytical skills & detailed oriented mindset
- Knowledge of FINRA, SEC, MSRB and State rules and regulations
- Experience with MS Excel, MS Office, Salesforce and Oracle preferred
- A passion for improving processes so they can be followed easily and lead to excellent results
LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans.
Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.
If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.
We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE
*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.