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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-022555 Date posted: 04/13/2022 Primary Location NC-Remote Other Locations AK-Remote , AL-Remote , AR-Remote ,AZ-Remote

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.

We are currently looking to hire an Analyst within MRR, which is a part of LPL’s Compliance, Legal & Risk (CLR) organization. The Analyst, MRR will primarily review and approve marketing materials and other public communications prepared by LPL Research and Model Wealth Portfolios (MWP) Third Party Strategists. This role will be closely aligned with the LPL Research Department and will deal frequently with complex financial and economic concepts, often within very tight time constraints, on materials intended for both our community of financial professionals and partners, as well as retail investors.

Essential Functions:

  • In a consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.
  • Consult with internal partners on their marketing initiatives.
  • Research and address instances where the firm’s policies regarding communications with the public are not being followed.
  • Serve as a resource to other MRR analysts and home office staff on communications with the public.

Other Job Duties:

  • As needed, serve as an SME to help educate MRR analysts and home office employees regarding communications with the public.
  • Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.
  • Contribute to department initiatives that may include policy updates and training.


  • Bachelor's degree preferred
  • Minimum of 3+ years of relevant experience
  • The Series 7 and 24 licenses are required
  • Series 65 or 66 licenses preferred; other relevant certifications and designations are a plus
  • Prior financial services and advertising/marketing compliance review experience required
  • Knowledge of registered investment products as well as advisory models would be beneficial
  • Strong working knowledge of Excel, Word, and PowerPoint
  • Must have excellent customer service skills and be able to communicate effectively with individuals at various levels
  • Candidates should be detail-oriented, proactive, work effectively with others, and be able to respond promptly and calmly to change

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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