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Assoc Analyst, Registrations

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Job ID R-025505 Date posted 09/15/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a team player with a growth mindset? 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!

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 18,000 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 personalized 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. And they 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.

Responsibilities:

  • Effectively managing competing priorities of requests working under strict deliverables
  • Proactively participate in testing initiatives and assist in implementing management’s plan of action to remediate findings;
  • Prepare testing results to present to management and support Compliance Testers to gather management’s plan of action to remediate findings;
  • Assist with developing materials/presentations for management meetings, initiatives/project status, etc.
  • Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.
  • Identifying Risk exposure with all projects. Includes ensuring all regulatory driven projects are completed within regulatory timelines.
  • Continually access and identify new risk items within departmental processes
  • Work closely with subject matter experts/business units across the organization
  • Assist the team in managing the queue volumes and daily workload for onboarding new advisors and NLAs.
  • Ensure strict adherence to regulatory requirements for onboarding new advisors and other associated persons.
  • Ensure accurate Books & Records are maintained by the team.
  • Review of on-boarding kits
  • Assist with Mass Transfers during acquisitions.
  • Lead clean-up and team wide projects.

Qualifications:

  • 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 various levels of employees
  • Strong time management and organizational skills
  • Highly motivated and able to adapt to changing priorities
  • Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines
  • Bachelor's Degree Preferred
  • Proficient in Microsoft Office preferred, Excel proficiency a must.
  • Familiarity with Oracle, Clientworks, Microsoft Dynamics, and Documentum preferre

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 @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.

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Video Called We are LPL

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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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