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Analyst, Compliance

Job ID: R-020293 Date posted: 01/19/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Position Summary:

The Analyst, Compliance position is a full time role reporting to Assistant Vice President, Conflicts Management Office (CMO) & Sponsor Compliance Group within the Compliance, Legal, and Risk (CLR) organization.  The Analyst role will be responsible to carry out functions and responsibilities related to the Firm’s Non-Cash Compensation policies and procedures, including Gifts and Business Entertainment, Charitable Contributions, Product Sponsor and Vendor Support and Training and Educational Meetings hosted by OSJ’s and product sponsors. 

Essential Job Duties:

  • Support the Conflicts Management Office through the review, evaluation, and resolution of both employee and advisor Annual Questionnaire responses pertaining to conflicts of interest and sponsor compliance.
  • Monitor department mailboxes (non-cash compensation and sponsor compliance) and ensure timely responses to meet required handling times and deadlines.
  • Review and approve sponsor due diligence meeting and OSJ meeting requests to ensure compliance with non-cash compensation regulatory requirements and LPL policy.
  • Review and log all employee gift and business entertainment reports to ensure compliance with LPL policy and applicable regulatory requirements.
  • Gather data and supporting documentation to satisfy regulatory inquiries related to sponsor compliance reimbursements and non-cash compensation, including gifts and business entertainment.

Minimum Requirements:

  • Minimum of 3+ years of previous securities industry experience, preferably in a compliance role.
  • Ability to function cooperatively and build consensus 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

  • Series 7, 63 and 65 (or 66) and 24 are preferred
  • Knowledge of FINRA, SEC, MSRB and State rules and regulations
  • Experience with MS Excel, MS Office 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

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 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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