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Senior Analyst - Policy and Regulatory Change Management Group

Job ID: R-003767 Date posted: 07/20/2018 Primary Location SC-Fort Mill

LPL is currently seeking a Senior Analyst to join the Policy and Regulatory Change Management Group. This role will be responsible for working with the Vice President of Policy and Regulatory Change Management to on Compliance policy development and maintenance, and to identify and track regulatory changes that impact the Firm to ensure appropriate implementation of new and revised policies and procedures.

The ideal candidate will have strong written communication skills and careful attention to detail, and will be a self-starter.

Policy Management Responsibilities include:

  • Assisting with updating Compliance manuals and written supervisory procedures.
  • Working with subject matter experts across Compliance regarding policy changes.
  • Supporting efforts to streamline policies and ensure they are written effectively..

Regulatory Change Management Responsibilities include:

  • Assisting with the monitoring of regulatory websites and other resources for regulatory changes.
  • Maintaining the team’s regulatory tracking documentation.
  • Providing support with the development of governance committee meeting materials.


  • Bachelor’s degree.
  • Minimum of 5-7 years in the financial services industry with a focus on Compliance.
  • Strong writing and editing skills.
  • Proficient with PowerPoint

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 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove