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Sr Analyst, Compliance

Job ID: R-006137 Date posted: 03/04/2019 Primary Location SC-Fort Mill

The Market Surveillance Group is principally responsible for conducting reviews aimed at detecting, preventing and investigating abusive, manipulative and illegal trading. The Senior Analyst will conduct Market Surveillance reviews and investigations into subject matters to include low-priced and unlisted security trades and deposits, market manipulation related trading activity and Firm concentration reviews.

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 conduct these types of reviews.

Essential Functions:

  • Conduct reviews into low-priced and unlisted security transactions, and other areas involving possible market manipulation.
  • Perform 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.


  • 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 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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, Fort Mill, South Carolina, United StatesRemove