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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
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Associate Analyst

Job ID: R-017406 Date posted: 09/13/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Associate Analyst

The Electronic Communications Associate Analyst will be responsible for daily control performance that ensures LPL’s ability to perform capture, archive, retrieve, and supervise (CARS).  Electronic communications include emails, text messages, instant messages (IM/Chat), social media, or other collaboration tools.   The Associate Analyst will work primarily at an individual level, but will collaborate closely with members of Compliance, Legal, and Risk, and Advisor Offices. 

Knowledge and Essential Functions:

  • Has basic knowledge of practices, policies and procedures within Compliance, Legal, and Risk.
  • Works under general supervision.
  • Knows fundamental concepts, practices, and procedures of function but is learning to apply them.
  • Performs defined controls with variability in remediation methods.
  • Assignments are typically similar in nature but can be moderately complex.
  • Operates under established policies, procedures and guidelines.  
  • Utilizes subject matter expertise to identify operational efficiencies.
  • Limited latitude to deviate without approval from manager.
  • Work is spot-checked for soundness and accuracy.

Required Qualifications:

  • Basic technical aptitude with the ability to think critically in order to troubleshoot identified issues
  • Ability to manage sensitive data

Preferred Qualifications:

  • 1 – 3 years of Broker Dealer experience
  • Professional licenses/certifications
  • Experience with electronic communications platforms

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 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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