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Analyst, Market Surveillance

Job ID: R-015042 Date posted: 05/19/2021 Primary Location SC-Fort Mill

LPL’s Compliance, Legal & Risk (CLR) organization is currently looking for an Analyst within the Surveillance Department.  If you are an individual who has a drive to deliver exceptional results, has a curious and inquisitive mindset, and is interested in protecting financial advisors and their clients, this may be the role for you!

The Analyst, Market Surveillance will be part of a dynamic team that is responsible for performing trade-related surveillance in accordance with federal, state, and industry regulations as part of LPL’s Surveillance Program. 

Excited to learn more? If so, then this could be the role for you! 

Job overview: The Market Surveillance Group is principally responsible for conducting reviews aimed at detecting and investigating abusive, manipulative, and potentially illegal trading. 

What will you do? The Analyst will perform trade surveillance reviews and investigations into subject matters that include low-priced and unlisted security trades and deposits, market manipulative trading activity, insider trading, and Firm concentration.

  • Investigate alerts indicative of potential insider trading, front-running and other forms of market manipulation by end-investors, employees or financial advisors affiliated with the Firm.
  • Perform reviews of low-priced and unlisted security transactions.
  • Conduct investigations into possible violations of federal or states laws/regulations, self-regulatory requirements, and LPL policies.
  • Ensure appropriate communication and collaboration with different Firm departments and personnel, as well as Financial Advisors and other field personnel.

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

What skills, experiences, and education are required?

  • Bachelor’s degree and/or 1-3 years of industry experience required.
  • Experience in performing trade surveillance and associated investigations.
  • Excellent oral and written communication skills.
  • Strong analytical skills to identify potential issues and risk areas.
  • Ability to multi-task and meet deadlines in a fast paced environment.

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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  • Compliance, Fort Mill, South Carolina, United StatesRemove