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Analyst, Information Lifecycle Management

Job ID: R-004431 Date posted: 10/15/2018 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Analyst, Information Lifecycle Management (ILM) sits in the Compliance, Legal, and Risk (CLR) organization and will support the enhancement of a firm wide program responsible for the birth-to-death management of records in compliance with SEC, FINRA, FICCA and other regulatory requirements. 

The Analyst, ILM will be responsible for working with a cross section of individuals in various units within LPL Financial including Technology, Service, Trading & Operations, and CLR to complete the various functions noted below. 

Essential Functions:

  • Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management;
  • Effectively execute processes and controls designed to manage an effective books and records compliance program;
  • Work with financial advisors and/or home office employees to monitor compliance, address non-compliance, provide guidance, and enforce policies;
  • Assess and strengthen ILM processes and controls;
  • Enhance formal and informal technology capabilities to facilitate more effective data and records management; and
  • Support corporate initiatives that impact the firm’s management of data and records.

Qualifications:

  • Bachelor's degree in a related field preferred
  • 1-3 years’ experience in the financial services industry in a compliance, legal, technology or risk capacity, focused on data and records management
  • Working knowledge and understanding of the functions of electronic record, document, or image management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access
  • Strong understanding of industry best practices on data and record management
  • Working knowledge of SEC, FINRA, NFA, CFTC, and MSRB rules especially Books and Records requirements
  • Advanced Microsoft (Word, Excel, Access and PowerPoint) user, Visio, Adobe Acrobat, SharePoint and Outlook

Additional skills required:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a pro-active approach to solving and preventing problems
  • Ability to work under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with all levels of management

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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