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Analyst, Compliance

Job ID: R-001899 Date posted: 03/14/2018 Primary Location SC-Fort Mill

LPL Financial is currently looking to hire an  Analyst, Advisory Compliance within the Governance, Risk, and Compliance (GRC) business unit.  The Analyst, Advisory Compliance will report to the Manager, Advisory Compliance and will primarily be responsible for querying and analyzing data, composing written policies and procedures, and performing oversight of the firm’s advisory activities including Code of Ethics and Outside Investment Account policy.

Essential Functions:

  • Review documentation for accuracy,  submitted by reps
  • Compile data from multiple locations to a centralized program
  • Data entry and attention to detail
  • Communicate internally and externally with employees and advisor field staff

Other Job Duties/Skill Requirements:

  • Superior verbal and written communication skills
  • Ability to work within and meet tight deadlines and multitask efficiently
  • Ability to function cooperatively with other departments, and understand processes within different departments
  • Excellent analytical skills
  • Other duties as assigned


  • Bachelor’s Degree or equivalent experience
  • 2+ years financial services compliance experience
  • Series 7 & 66 preferred and Series 24 a plus
  • Proficient in Microsoft Office and SharePoint

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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 login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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