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Sr Compliance Specialist

Job ID: R-019824 Date posted: 12/02/2021 Primary Location SC-Fort Mill

The Compliance, Legal & Risk (CLR) department within LPL Financial, is currently seeking a Sr. Compliance Specialist to join the Offshore Business Management team in the Ft. Mill or San Diego office.

Offshore Business Management (OBM) supports offshore resource, operations, consulting and performance assurance needs within Compliance, Legal and Risk. OBM partners with CLR business units and our offshore partners to maintain communication, ensure performance, and liaison to resolve any issues.

The position requires excellent communication and organizational skills, along with a passion for learning and implementing new concepts related to compliance and the broker-dealer industry. In addition, the ideal candidate is someone who is proactive, likes to be involved, and is confident liaising with individuals at many levels. 

Essential Functions:

  • Complete Performance Assurance of tasks assigned to offshore, and report findings
  • Maintain cross-functional relationships with CLR Business units and offshore partners
  • Analyze business processes and work flows to identify opportunities for efficiency recommendations and process improvements
  • Collaborate and share knowledge with CLR business partners


  • Bachelor's degree in a business-related field
  • 1+ years industry experience
  • Excellent written and oral communication skills with the ability to collaborate and present information in differing degrees of details depending on the audience
  • Ability to work independently with minimal guidance as well as a strong team player
  • Strong attention to detail, excellent research skills, capacity to effectively handle multiple work streams and tasks in a given day
  • Ability to adhere to deadlines, be agile and flexible to quickly respond to changes with business needs
  • Knowledge of financial services industry, financial products, and regulators such as FINRA and the SEC
  • Positive attitude, commitment to excellence and integrity

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 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