Associate Analyst, eDiscoveryApply Job ID: R-007745 Date posted: 10/03/2019 Primary Location SC-Fort Mill
LPL Financial is seeking an Analyst to work in the eDiscovery Group within Compliance, Legal and Risk. This position involves a focus on compliance issues and the candidate should have a strong understanding of securities rules and compliance policies/procedures. The person in this position will be responsible for coordinating responses to discovery requests on behalf of Compliance, Legal & Risk, producing relevant data, and performing various supervisory tasks as needed for projects related to Litigation and Arbitration matters.
- In conjunction with the Litigation/Arbitration group within Compliance, Legal & Risk, collect, analyze, and provide books and records for all matters.
- Project management, planning, and issue resolution – This role involve complex issues and aggressive deadlines.
- Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes.
- On an as needed basis, review securities transactions and documentation, including variable annuities, mutual funds, equities, and alternative investments.
- Undergraduate degree in Business, Accounting, Finance or related discipline. Graduate degree a plus.
- 4+ years of industry experience, which is defined as significant experience working the brokerage or investment advisory industry and handling compliance issues.
- Strong knowledge of FINRA, particularly complying with FINRA 11-17, SEC, and State rules and regulations.
- Knowledge of mutual funds, annuities, general securities, and other financial products.
- Ability to develop compliance processes and strategies for effective supervision.
- Ability to work in a fast paced/high volume environment.
- Strong analytical and organizational skills and the ability to keep track of multiple deadlines and projects.
- Exceptional oral and written communication skills and the ability to independently draft letters and other documents.
- Proficiency in all Microsoft applications, particularly Excel, Word, Access, and PowerPoint.
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.
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.