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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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Sr Analyst, Compliance

Job ID: R-023697 Date posted: 06/17/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Senior Analyst – Control Room

The Control Room manages the risk surrounding the flow of MNPI coming into and moving throughout the firm to prevent and/or manage potential or actual conflicts of interest.  The Senior Analyst will perform reviews and investigations into subject matters that include low-priced and unlisted security deposits and transfers, insider trading, and Firm concentration, and apply trading restrictions as necessary.

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

Essential Functions:

Role Overview:

  • 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 deposits and transfers.

  • 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.


  • Bachelor’s degree and 3-5 years of industry experience required.

  • Securities licenses strongly preferred.

  • Minimum 3 years of Retail Broker/Dealer experience.

  • Experience in managing conflicts of interest and the application of trading restrictions.

  • In depth knowledge of SEC, FINRA and other SRO rules; Understanding and awareness of legal and regulatory landscape required.

  • Experience in performing surveillance and associated investigations.

  • 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.

  • 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.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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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