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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at LPLFinancialHiring@lplfinancial.com.
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Associate Analyst, Risk Management

Job ID: R-017946 Date posted: 10/26/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

LBS Shared Services Associate Analyst, Risk Management Analyst Job Description

The Associate Analyst, Risk Management will assist the Manager, Compliance in supporting the Marketing Solutions and Admin Solutions programs with their compliance and risk management needs. Both of these programs are part of LPL’s Business Solutions, which advisors can subscribe to in order to receive support with their practice.

Essential Functions:

  • Provide Risk Management support to the employees of both Marketing Solutions and Admin Solutions.
  • Assist with Quality Control reviews for both Marketing Solutions and Admin Solutions.
  • Work with our partners in Compliance, Legal, and Risk (CLR) to help ensure that both programs are following LPL’s Policies and Procedures.
  • Help to maintain the policies and procedures for both Marketing Solutions and Admin Solutions.
  • Attend regular trainings with CLR in order to help ensure that all or our policies and procedures are up to date.
  • Escalate any compliance or risk concerns to management.

Other Duties:

  • Serve as a backup to the Marketing Solutions Associate Compliance Analysts when needed, by helping with compliance submissions for the digital marketing materials of our advisors who subscribe to the program.
  • Perform other tasks as assigned.

Qualifications:

  • 1-3 years of Financial Services Risk Management / Compliance experience
  • Strong working knowledge of Excel, Word, PowerPoint, and Smartsheet
  • Must have excellent customer service skills and be able to communicate effectively
  • Written and verbal communication skills
  • Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
  • Bachelor's degree preferred

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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