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Analyst, Regulatory

Job ID: R-007561 Date posted: 09/16/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Regulatory Examinations and Inquiries team, within the Firm’s Compliance department, handles a broad range of regulatory matters, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries. 

The Analyst position involves gathering information and developing responses to regulatory inquiries.The person in this position will investigate regulatory matters and assist team members with drafting responses.Analysts are expected to coordinate effectively with home office staff and financial advisors in order to obtain documents and information for regulatory matters.

Essential Functions:

  • Respond to regulatory inquiries. This involves effectively communicating with various departments at the Firm to collect the necessary information, analyzing the information thoroughly, and working with team members to prepare the written response.
  • Provide critical thinking in order to identify and escalate concerns as they arise, and collaborate with team management, LPL financial business units, and financial advisors in order to address issues.
  • Assist financial advisors with regulatory exams with a client-centric mindset, and provide regulators with requested documents and information.
  • Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.
  • Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.


  • Bachelor’s degree and/or experience working in the brokerage or investment advisory industry.  1+ years of such experience is generally preferred.
  • Clear communication and writing skills.
  • A desire to support the Firm’s financial advisors in regulatory matters with a high-level of client service.
  • Excellent attention to detail. 
  • Strong analytical abilities, including the ability to analyze and draw conclusions from detailed records such as trade blotters, email communications, and branch examination reports.
  • Strong organizational skills and the ability to keep track of multiple deadlines and projects.
  • The ability to think holistically about processes that impact clients and the Firm.
  • Proficiency with Excel.
  • Ability to travel on occasion as needed.

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Compliance, San Diego, California, United StatesRemove