Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
Excited to learn more? If so, then this could be the role for you!
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 20,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to objective guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. Advisors have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
The Compliance Analyst will provide supervision and oversight for the ERISA Retirement Plan space within Advisory Compliance. Responsibilities include the supervision of various retirement focused programs at the plan and individual levels, approval of advisors into the various retirement programs, preparation for regulatory exams and follow up with advisors on their responses to the annual compliance questionnaire and attestations.
This role is critical to the oversight and supervision of over 2000+ advisors doing business within the retirement space; as a result, the ideal candidate should have a working knowledge of general ERISA and SEC fiduciary concepts.
Work with multiple departments to understand processes
Supervision and Oversight of various ERISA qualified plan and individual level retirement programs.
Assist with the composition of written desktop procedures
Work with outside record keeper liaisons and technology
Communicate internally and externally with employees, advisors, and advisor field staff
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.
Series 65, Series 7, and 66 or willingness to obtain
2+ years of financial services compliance experience
Familiarity with compliance as it relates to retirement plans
Strong understanding of advisory/fee-based compliance regulations
Proficient in Microsoft Office (Excel, PowerPoint, Word) and SharePoint
Superior verbal and written communication skills
Ability to work within and meet tight deadlines and multitask efficiently
Ability to function cooperatively with other departments, and understand processes within different departments
Excellent analytical skills
The salary range is dependent on a number of factors, including the applicant’s skill, experience, and work location.
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.
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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 @lplfinancial.com 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.