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Analyst, Compliance

Job ID: R-005761 Date posted: 01/31/2019 Primary Location SC-Fort Mill

Analyst, ERISA and Retirement Compliance

The Compliance Analyst will oversee the Retirement Plan space within Advisory Compliance.

The Analyst position is solely responsible for the oversight of the IPA Program, PAA Program, RPCP program approvals, RPCP Oversight QC, audit functions of the Retirement Partner Oversight Program, regulatory exams and follow up for IPA/RPCP on the annual questionnaires. This role is critical to the oversight of close to 1000 Retirement Plan Advisors including 41 advisors in the Individual Retirement Advice platform.  The Retirement platform as a whole is on pace to grow headcount by 13% this year. Additionally, this person acts as an expert in the Retirement space.  

The Analyst, ERISA and Retirement Compliance will report to the AVP, ERISA and Retirement  Compliance & Oversight and will primarily be responsible for oversight of advisory and other activities within the Retirement Partners program, querying and analyzing data, composing written policies and procedures, and performing testing within the program.

Essential Functions:

  • Work with multiple departments to understand processes
  • Oversight of Retirement Partners programs
  • Assist with the composition of written desktop procedures
  • Work with outside record keeper liaisons and technology
  • Communicate internally and externally with employees and advisor field staff
  • Project management and process organization


  • Bachelor’s degree in a related field
  • Series 7 and 66; Series 24 a plus
  • 3-5 years of financial services compliance experience
  • Familiarity with compliance as it relates to retirement plans
  • Strong understanding of advisory/fee-based compliance regulations
  • 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
  • Excellent analytical skills
  • Proficient in Microsoft Office (Excel, PowerPoint, Word) and SharePoint

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