Analyst, ComplianceApply Job ID: R-003480 Date posted: 07/16/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill
Series 7, 24 Licensed Compliance Analyst - Compliance, Legal & Risk, Centralized Consulting Group (CCG)
The Compliance, Legal & Risk (CLR) department within LPL Financial, is currently seeking a Senior Analyst to join its Centralized Consulting Group (CCG) in the Ft. Mill or San Diego office.
CCG is comprised of experienced and licensed compliance professionals who quickly support resource and consulting needs within Compliance, Legal and Risk, lessening the dependence on contingent workers and outside consultants. CCG partners with CLR business units to address volume spikes and special projects, while also identifying and delivering productivity and effectiveness solutions.
The position requires excellent analytical, communication, and organizational skills, along with a passion for leadership, learning, and implementing new concepts related to compliance and the broker-dealer industry.
- Execute on assignments for various business units across CLR including Supervision, Surveillance & Investigations, Advisory Compliance, and Marketing Regulatory and Review, to ensure compliance with LPL policies and industry regulations.
- Assist management with training and support of rising level team members. Provide helpful feedback and guidance as necessary.
- Collaborate and share knowledge with CLR business partners and CCG colleagues.
- Analyze business processes and work flows to identify opportunities for efficiency recommendations and process improvements.
- Support ad-hoc projects and initiatives related to CCG as needed.
- Pursue professional development opportunities, including external and internal training and professional association memberships.
- Series 7 and 63 (or 65/66) licenses required.
- Series 24 license preferred.
- Bachelor's degree in a business-related field.
- 4+ years industry experience.
- Proven track record of successful leadership.
- Excellent written and oral communication skills with the ability to collaborate and present information in differing degrees of details depending on the audience
- Highly analytical, strong attention to detail, excellent research skills, capacity to effectively multi-task.
- Ability to adhere to deadlines, be agile and flexible to quickly respond to changes with business needs
- Knowledge of financial services industry, financial products, and regulators such as FINRA and the SEC.
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.
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.