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Analyst, Compliance

Job ID: R-003307 Date posted: 06/07/2018 Primary Location SC-Fort Mill

The Compliance Analyst will be responsible for assisting the firm with regard to regulatory and compliance matters which includes but is not limited to: performing various types of analysis of advisory accounts with a focus on trends and patterns, flag resolution, communication with advisors and evidencing final completion of assigned tasks. The analyst must become familiar with tracking mechanisms, spreadsheet analysis and occasional report writing.

Essential Functions:

  • Keeping up to date with company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes
  • Performing daily and periodic tactical Surveillance and analysis of trading activity and other activities of Financial Advisors.
  • Work with Senior Analyst and Manager on flag resolutions, work independently on completion of statistical tracking and evidencing of final results
  • Ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company
  • Leading investigations of questionable sales activity and work with Senior Analyst or Manager on resolution
  • Proactively seeking to identify potential issues and leads staff initiatives to improve and streamline surveillance procedures
  • Serve as go-to resource for advisors
  • Prepare draft reports to senior Compliance management
  • Perform other duties as assigned

Qualifications:

  • 2+ years industry experience
  • Series 7 required. Series 24, 63 and 65 (or 66) are required or must be obtained within a specified timeframe. Series 3, 4, 27, and/or 53 a plus. Insurance licensed in variable annuities and life a plus
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and VISIO
  • Ability to function independently as well as cooperatively, and build consensus on compliance issues among managers, employees and representatives
  • Excellent oral and written communication skills
  • Ability to meet deadlines in a fast paced environment
  • Ability to work with advisors and other team members on complex issues
  • Thorough and detail- oriented with strong investigative skills
  • Highly analytical with excellent research skills
  • Extensive knowledge of investment products (stocks, bonds, mutual funds, options, etc.) a plus.
  • Knowledge of FINRA, SEC, and State rules and regulations
  • Bachelor's degree in business related field or equal experience Advanced degree a plus

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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