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Senior Regulatory Analyst

Job ID: R-001905 Date posted: 12/31/2017 Primary Location SC-Fort Mill

We are currently looking to hire a Senior Regulatory Analyst within the Regulations & Inquiries department, which is a part of LPL’s Compliance, Legal and Risk (CLR) organization.

This regulatory position involves a focus on regulatory and examination issues. The individual in this position serves a critical role in the Regulatory Investigations and Inquiries group and works independently in gathering information and developing responses to regulatory inquiries. The person in this position will investigate, draft, coordinate and file responses to inquiries received from regulators, interface directly with regulators and financial advisors during the course of regulatory examinations, interface with LPL Financial compliance and business units, and work with the group’s attorneys.

The candidate should have a strong understanding of securities laws and rules and compliance policies and procedures

Essential Functions:

  • Respond to regulatory inquiries; this involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response.
  • Serve as liaison for branch exams conducted by regulators.
  • Assist financial advisors with regulatory exams, and provide regulators with requested information.
  • Serve as a liaison for FINRA and SEC exams.
  • Assist firm employees in preparing for the exam, and support them throughout the exam process.
  • Collect, analyze, and provide documents requested by the regulators.
  • Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.
  • Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.


  • Bachelor's degree in a related field
  • Series 7 and 24
  • 5+ years of regulatory experience, which is defined as significant experience working in the brokerage or investment advisory industry and handling compliance issues
  • Ability to properly interpret and analyze regulatory and compliance issues
  • Thorough understanding of brokerage and investment advisor operations and compliance processes
  • Exceptional oral and written communication skills and the ability to independently draft letters and other documents
  • Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
  • Ability to work independently
  • The ability to think holistically about processes that impact clients, and to continuously refine those processes, making it easier for clients to accomplish their daily business
  • A passion for improving processes so they can be followed easily and lead to excellent results

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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