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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 LPLFinancialHiring@lplfinancial.com.
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Sr Analyst

Job ID: R-019817 Date posted: 04/29/2022 Primary Location SC-Fort Mill Other Locations CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? 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.

Job Overview:

The Compliance, Legal & Risk (CLR) department within LPL Financial, is currently seeking a Sr. Analyst to join its Centralized Consulting Group (CCG) in the Ft. Mill or San Diego office.

CCG is comprised of experienced and licensed compliance professionals who quickly support resource and consulting needs within Compliance, Legal and Risk, lessening the dependence on contingent workers and outside consultants. CCG partners with CLR business units to address volume spikes and special projects, while also identifying and delivering productivity and effectiveness solutions.

The position requires excellent analytical, communication, and organizational skills, along with a passion for learning, and implementing new concepts related to compliance and the broker-dealer industry. 

Responsibilities:

  • Execute on assignments for various business units across CLR to ensure compliance with LPL policies and industry regulations

  • Analyze business processes and work flows to identify opportunities for efficiency recommendations and process improvements

  • Collaborate and share knowledge with CLR business partners and CCG colleagues

  • Support ad-hoc projects and initiatives related to CCG as needed

  • Demonstrate leadership qualities in support of business units, CCG management, and members of the CCG team

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Series 7, 63 (or 65/66), and 24 licenses required

  • Bachelor's degree in a business-related field

  • 5+ years industry experience

  • Knowledge of financial services industry, financial products, and regulators such as FINRA and the SEC

Core Competencies:

  • Excellent written and oral communication skills with the ability to collaborate and present information in differing degrees of details depending on the audience

  • Highly analytical, strong attention to detail, excellent research skills, capacity to effectively multi-task

  • Ability to adhere to deadlines, be agile and flexible to quickly respond to changes with business needs

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!

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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 @lplfinancial.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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