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Sr. Regulatory Analyst

Job ID: R-007560 Date posted: 09/13/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

The Regulatory Examinations and Inquiries team, within the Firm’s Compliance department, handles a broad range of regulatory matters, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries. 

The Senior Regulatory Analyst position involves gathering information and developing responses to regulatory inquiries.The person in this position will investigate, draft, coordinate and file responses to regulators, and interact directly with regulators, home office staff, and financial advisors during the course of matters.Senior Regulatory Analysts are expected to identify and escalate risk; prepare clear, thorough and high-quality regulatory responses; and communicate effectively with regulators and financial advisors.

Essential Functions:

  • Respond to regulatory inquiries. This involves effectively communicating with various departments at the Firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response.
  • Provide critical thinking in order to identify and escalate concerns as they arise, and collaborate with team management, LPL financial business units, and financial advisors in order to address issues.
  • Serve as the Firm’s liaison for branch exams conducted by regulators.
  • Assist financial advisors with regulatory exams with a client-centric mindset, and provide regulators with requested documents and information.
  • Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.
  • Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.


  • Bachelor’s degree and/or experience working in the brokerage or investment advisory industry and familiarity with related compliance issues.  3+ years of such experience is generally preferred.
  • Clear communication and excellent writing skills and the ability to independently draft letters and other documents.
  • A desire to support the Firm’s financial advisors in regulatory matters with a high-level of client service.
  • Excellent attention to detail. 
  • Strong analytical abilities, including the ability to analyze and draw conclusions from detailed records such as trade blotters, email communications, and branch examination reports.
  • Strong organizational skills and the ability to keep track of multiple deadlines and projects.
  • Ability to work independently and proactively.
  • The ability to think holistically about processes that impact clients and the Firm.
  • Proficiency with Excel.
  • Ability to travel on occasion as needed.

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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