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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 Compliance Specialist

Job ID: R-018023 Date posted: 11/18/2021 Primary Location SC-Fort Mill Other Locations CA-San Diego

Responsibilities Include

  • Review, research, process tasks within expected service levels
  • Ensure proper application of compliance and regulatory policies and procedures
  • Support our service teams with questions on processed or pending requests
  • Contribute to continuous improvement of client experience and efficiency
  • Assist in various company initiatives
  • Update job knowledge by participating in educational opportunities Additional tasks may be assigned to match changing business needs
  • Resolving client inquiries via email, and phone
  • Work in a team oriented environment
  • Ability to work in a fast-paced, demanding environment
  • Improve industry knowledge by participating in educational opportunities
  • Evaluate existing processes and develop initiatives towards process improvements
  • Assume ownership of inquiries and see them through to a timely resolution
  • Train and support team members and other departments on registration processes


  • Strong ability to multi-task various functions and assignments with competing priorities, changing demands and tight deadlines
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment
  • Attention to detail and excellent problem solving skills
  • Demonstrates accuracy and thoroughness in performing work assignments
  • Ability to develop positive working relationships and works well in a team setting
  • Must be self-motivated and effectively cope with changing environments
  • Can develop resourceful solutions to challenging situations
  • Strong organizational skills
  • Experience in the financial industry and/or processing in a high volume and deadline driven environment
  • Can maintain a high level of output and achieve results without sacrificing quality
  • Ability to analyze information and strong reporting skills
  • Ability to respond quickly to new instructions, situations, methods and procedures and display an exceptional ability to learn new methods and adapt to changing situations.
  • Ability to meet strict deadlines with minimal supervision
  • Bachelor's Degree Preferred
  • Proficient in Microsoft Office preferred
  • Familiarity with Oracle, Clientworks, Microsoft Dynamics, and Documentum

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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  • Compliance, Fort Mill, South Carolina, United StatesRemove
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