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Analyst, Branch Examinations

Job ID: R-005265 Date posted: 12/03/2018 Primary Location SC-Fort Mill

Analyst, Branch Examinations for Annual Questionnaire Team will primarily be responsible for reviewing incoming questionnaires that have flagged for further investigation, working with Advisors and Employees to resolve each issue and complete the questionnaire, preparing annual rollout schedules, meeting with the vendor weekly on technical issues and questionnaire assignments.

•Work with multiple departments to understand processes

•Assist with the composition of written desktop procedures

•Administer/perform the newly created desktop procedures

•Analyze and organize multiple large data sets

•Communicate internally and externally with employees and Advisor field staff

•Project management and process organization

•Superior verbal and written communication skills

•Ability to work within and meet tight deadlines and multitask efficiently

•Ability to function cooperatively with other departments, and understand processes within different departments

•Strong attention to detail

•Software Skills – Advanced user in Microsoft Word and Microsoft Excel. SharePoint knowledge a strong plus

•Excellent analytical skills

•Other duties as assigned

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

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.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove