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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Analyst, Compliance

Job ID: R-017597 Date posted: 09/21/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

We are currently looking to hire an Analyst, Compliance on the Compensation Plan Review team, which is a part of LPL's Supervision department. The Supervision department serves as the first line of defense within the Compliance, Legal, & Risk (CLR) group.  The Analyst, Compliance in Compensation Plan Review will primarily be responsible for reviewing compensation plans. This role will also cross-train for other tasks within the department.

Essential Functions:

  • Perform comprehensive reviews of compensation plans that are managed by institutions and registered representatives to ensure compliance with LPL’s compensation guidelines

  • Provide support and expertise on policies and regulatory requirements related to compensation agreements

  • Review exception reports to detect and address potential concerns with compensation plans

  • QC and monitor records to ensure compensation is being distributed in accordance with approved agreements

  • Maintain awareness of the industry trends, changes in the business or regulatory landscape, firm policies and department processes

  • Review and update documentation related to department policies and procedures

  • Proactively identify potential issues, opportunities for process improvements and recommend effective solutions

  • Perform other duties as assigned, including special projects, research and reporting

Qualifications:

  • Bachelor's degree or equivalent experience

  • 3+ years industry experience preferred

  • Proficiency with all Microsoft applications, particularly Word, Access and Excel

  • Strong oral and written communication skills

  • Ability to meet deadlines in a fast paced environment

  • Strong time management and organizational skills

  • Strong analytical and research skills

  • Highly motivated self-starter

  • Knowledge of FINRA, SEC, and State rules and regulations

  • 7 & 24 license preferred

Why LPL? 

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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.

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