Analyst, ComplianceApply 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.
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
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
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.