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Senior Analyst, Market Surveillance

Job ID: R-010080 Date posted: 05/14/2020 Primary Location SC-Fort Mill

The Market Surveillance Group is principally responsible for conducting reviews aimed at detecting and investigating abusive, manipulative and potentially illegal trading. The Senior Analyst will perform trade surveillance reviews and investigations into subject matters that include low-priced and unlisted security trades and deposits, market manipulative trading activity, insider trading, and Firm concentration.

The Senior Analyst has had significant experience in the securities industry conducting these types of reviews and investigations, and/or has extensive securities trading experience that lends itself to effectively performing these types of reviews.

Essential Functions:

  • Investigate alerts indicative of potential insider trading, front-running and other forms of market manipulation by end-investors, employees or financial advisors affiliated with the Firm.
  • Perform reviews of low-priced and unlisted security transactions.
  • Conduct investigations into possible violations of federal or states laws/regulations, self-regulatory requirements, and LPL policies.
  • Ensure appropriate communication and collaboration with different Firm departments and personnel, as well as Financial Advisors and other field personnel.

Qualifications:

  • Bachelor’s degree and 3-5 years of industry experience required.
  • Securities licenses strongly preferred.
  • Minimum 3 years of Retail Broker/Dealer experience.
  • In depth knowledge of SEC, FINRA and other SRO rules; Understanding and awareness of legal and regulatory landscape required.
  • Experience in performing market surveillance and associated investigations.
  • Experience with market surveillance-related vendor offerings and technology capabilities highly desired.
  • Strong project management, process improvement, and change management experience a plus.
  • Thorough and detail-oriented with strong investigative skills.
  • Highly analytical with excellent research skills.
  • Proficiency in all Microsoft applications required.
  • Actimize or Mantas experience preferred.
  • Excellent oral and written communication skills.
  • Ability to multi-task, deliver complex projects on time, and meet deadlines in a fast paced environment.
  • Self-motivation to establish personal timelines and deliverables.

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 @lpl.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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  • Compliance, Fort Mill, South Carolina, United StatesRemove