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Analyst, Compliance

Job ID: R-008189 Date posted: 03/31/2020 Primary Location SC-Fort Mill Other Locations AK-Remote , AL-Remote , AR-Remote ,AZ-Remote

We are currently looking to hire an Analyst within MRR, which is a part of LPL’s Compliance, Legal & Risk (CLR) organization. The Analyst, MRR will primarily review and approve marketing materials and other public communications prepared by LPL Research and Model Wealth Portfolios (MWP) Third Party Strategists. This role will be closely aligned with the LPL Research Department and will deal frequently with complex financial and economic concepts, often within very tight time constraints, on materials intended for both our community of financial professionals and partners, as well as retail investors.

Essential Functions:

  • In a consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.
  • Consult with internal partners on their marketing initiatives.
  • Research and address instances where the firm’s policies regarding communications with the public are not being followed.
  • Serve as a resource to other MRR analysts and home office staff on communications with the public.

Other Job Duties:

  • As needed, serve as an SME to help educate MRR analysts and home office employees regarding communications with the public.
  • Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.
  • Contribute to department initiatives that may include policy updates and training.


  • Bachelor's degree preferred
  • Minimum of 3+ years of relevant experience
  • The Series 7 and 24 licenses are required
  • Series 65 or 66 licenses preferred; other relevant certifications and designations are a plus
  • Prior financial services and advertising/marketing compliance review experience required
  • Knowledge of registered investment products as well as advisory models would be beneficial
  • Strong working knowledge of Excel, Word, and PowerPoint
  • Must have excellent customer service skills and be able to communicate effectively with individuals at various levels
  • Candidates should be detail-oriented, proactive, work effectively with others, and be able to respond promptly and calmly to change

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 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.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove