Analyst, ComplianceApply Job ID: R-002176 Date posted: 03/01/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill
The Analyst, Advisor Review is responsible for knowledge of compliance review of supervisory conflicts for existing LPL supervisors including review and approval of supervisors wishing to join LPL Financial. Furthermore, the Analyst will have knowledge of the compensation plan review requirements for LPL offices that aggregate and redistribute compensation at the local level. Additional projects requiring coordination and management of various processes within the conflicts and compensation areas will be required. This position works closely with several departments throughout CLR, as well as with the Transitions and Business Development teams. Direct LPL advisor and supervisor contact is required.
- Conducts due diligence on advisors before they join LPL Financial for supervisory conflicts and compensation requirements.
- Reviews requests for supervisory conflicts and compensation plans submitted by advisors
- Perform review of role change to ensure that they are appropriate and do not present supervisory conflicts
- 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.
Other Job Duties:
- Work on special projects
- Perform other duties as assigned
- Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations.
- Bachelor’s degree in Business related field or equal experience
- Minimum of 3-5 years of previous securities industry experience, directly in a compliance or supervision related function
- Series 7 and 24 required
- Series 3, 4, 27, 53 and/or 65 a plus
- Variable Life and Annuity Licenses a plus
- Working knowledge of FINRA, SEC, MSRB and State rules and regulations
- Ability to function cooperatively, and build consensus on supervision issues among managers, employees, representatives and senior levels of management
- Excellent oral and written communication skills
- Ability to meet deadlines in a fast-paced environment
- Very strong analytical and research skills
- Technology/database background a plus
- Experience with MS Excel, MS Office
- Siebel, Salesforce, and Oracle familiarity preferred
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.
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.