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Associate Analyst E-Communications Compliance

Job ID: R-001952 Date posted: 12/31/2017 Primary Location SC-Fort Mill

We are currently seeking an Associate Analyst to join the Electronic Communications Compliance Team in our Fort Mill office.

The Electronic Communications Compliance (E-Comm) Team, as part of the Compliance Legal and Risk organization, has overall responsibility for ensuring that all electronic communications are captured, archived, retrieved, and supervised within the firm’s guidelines. The Associate Analyst performs a number key controls related to the capture of E-Comm, and works closely with Advisors and Home Office Employees to resolve and remediate any issues. 

The position requires excellent communication and organizational skills, and a passion for learning new concepts related to technology and compliance. 

Essential Functions: 

  • Work with Branch Exams, MRR, Supervision, and advisor offices to ensure unapproved email addresses identified are fully remediated.
  • Monitor daily volumes and escalate any issues which may signify a failure to capture E-Comm.
  • Educate Financial Advisors and Home Office Staff about LPL’s E-Comm policy and best practices.
  • Assist offices that are hosting their own email servers and sending copies of their messages to LPL (direct journaling) with reporting new email addresses and completing their quarterly attestation through the Journaling Attestation Portal.
  • Work with Technology to ingest historical email communications (.PST files) into LPL’s archival and supervision systems.
  • Support ad-hoc projects and initiatives related to E-Comm as needed.


  • College degree in a business or technical related field.
  • Minimum of 3 years of experience in an advisor facing, compliance, or technical role.
  • The ability to manage conflicting priorities, track multiple incidents, and aggressively drive resolution to open issues.
  • A foundational understanding of technical concepts related to E-Comm (E-Mail, Instant Messaging, Text Messaging, Social Media).
  • Intermediate to advanced knowledge of Microsoft Excel, Word, and PowerPoint.  Knowledge of Access and Visio is preferred.
  • Securities licenses (Series 7 and 24) are preferred, but are not required.
  • Advanced technical knowledge and knowledge of compliance, risk management, controls, and remediation activities related to E-Comm is highly desired.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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