Analyst, ComplianceApply Job ID: R-017000 Date posted: 09/21/2021 Primary Location SC-Fort Mill Other Locations CA-Remote
The Analyst, Compliance position is a full time role reporting to Vice President, Enterprise Supervisory Oversight. The Business Risk Management (BRM) serves as the first line of defense function within Governance, Risk, and Compliance (GRC). The Analyst role will be responsible for the Firm’s field supervision oversight program in an effort to conduct due diligence related to several supervisory activities and identify, assess and risk concerns. The analyst may be responsible for the following:
Essential Job Duties: (at least 4-6 bullets)
- Conducts due diligence and oversight on field supervisory functions
- Communicate with field supervisors regarding findings and monitor remediation efforts
- Create and analyze departmental metrics to assist to boost overall efficiency and productivity
- Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives.
- Performs other duties and completes ad hoc projects as assigned.
Minimum Requirements: (at least 4-6 bullets)
- Minimum of 3-5 years of previous securities industry experience, directly in a compliance or supervision related function desired
- Series 7 & 24 required
- 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
Preferred Qualifications (at least 4-6 bullets)
- Series 63 and 65 (or 66) are preferred
- 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
- Bachelor’s degree in Business related field or equal experience
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.
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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 (800) 877-7210.