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Compliance Analyst

Job ID: R-000971 Date posted: 04/02/2018 Primary Location SC-Fort Mill

LPL Financial is seeking an Analyst– Quality Control,Advisory Compliance within the Compliance, Legal and Risk (CLR) business unit.  

Position Description:

The Quality Control Analyst reports to the Assistant Vice President of Advisory Compliance and will be responsible for assisting in providing oversight for LPL Financial’s Advisory Compliance and Hybrid Program functions. Primary responsibilities include support initiatives associated with Advisory and Hybrid Compliance oversight programs, and develop and implement standards for controls testing. 


  • Support Advisory Compliance compliance oversight and policy management initiatives.         
  • Assist management with the development and execution of Advisory Compliance’s Quality Control Program.
  • Develop testing standards to oversee current processes.
  • Analyze current processes and provide recommendations around process improvement opportunities.
  • Create reporting mechanism to communicate results to senior management.
  • Implement corrective action plans for process improvements.


  • Bachelor’s Degree and/or post graduate experience preferred
  • Minimum 1-5 years’ experience
  • High level of analytical and problem-solving skills
  • Strong PC skills
  • Excellent written and verbal communication skills
  • Attention to detail and quality assurance
  • Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically
  • Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

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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