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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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Senior Analyst, eComm Product Development

Job ID: R-012382 Date posted: 01/20/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Senior Analyst will be responsible for product development that ensures LPL’s ability to capture, archive, retrieve, and supervise (CARS) electronic communications (eComm).  Electronic communications include emails, text messages, instant messages (IM/Chat), social media, or other collaboration tools.   The Senior Analyst will work primarily at an individual level, but will also collaborate closely with members of Compliance Legal and Risk, Product Management, Business Stakeholders, and Technology.  

Essential Functions:

  • Responsibilities include:
  • Digital product intake: Feature set analysis, use case review, risk and controls assessment, product requirements, risk and control diagrams.
  • System inventory management: Manage inventory of digital tools that contain eComm; conduct control gap analysis; perform enhanced product testing and remediate findings.
  • Process and control enhancements: Identify opportunities to utilize technical/process improvements to improve control effectiveness and efficiency.
  • Manage ad-hoc projects and controls related to eComm compliance.
  • Works independently to drive process efficiencies and develop effective risk-ready frameworks. 
  • Uses innovative thinking to solve problems and meet business objectives.
  • Applies strategic thinking within the scope of their responsibilities; develops own Objectives and Key Results to align with organizational goals.
  • Uses data to make recommendations and drive decision making.
  • Frequently requires logical and analytical reasoning skills combined with seasoned judgment, creativity, and innovation.
  • Operates with wide latitude for making independent decisions/recommendations, which typically have significant financial, operational, legal, or image/reputation impact. 
  • Acts as a resource for colleagues with less experience.

Required Qualifications:

  • At least 3 years of experience with digital products with a focus on compliance, legal and risk.
  • Advanced technical aptitude with the ability to think critically in order to manage identified issues and provide solutions.
  • Demonstrated capability to drive continuous improvements.

Preferred Qualifications:

  • 1 - 3 years of Broker Dealer experience.
  • Professional licenses and certifications focused in a compliance and technical area (for example FINRA Series 7/24 licenses, PMP, CBAP, CSM, CISA, Lean Six Sigma).
  • Experience with electronic communications platforms.

About CLR
The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

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We take social responsibility seriously. Learn more here

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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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