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Analyst, Compliance

Job ID: R-005759 Date posted: 02/08/2019 Primary Location CA-San Diego

LPL Financial is seeking a Regulatory Analyst to work in the Regulatory Response Group within Compliance, Legal and Risk.  This position involves a focus on compliance issues and the candidate should have a strong understanding of securities rules and compliance policies/procedures.  The person in this position will be responsible for coordinating and/or drafting responses to regulatory inquiries on behalf of Compliance, Legal & Risk, document production, and performing various supervisory tasks as needed for regulatory projects.

Essential Functions:

  • In conjunction with the Regulatory Exams & Inquiries and the Regulatory Inquiries & Strategy groups within Compliance, Legal & Risk, collect, analyze, and provide books and records for regulatory matters.
  • Assist with regulatory exams and inquiries as well as assist with the development and maintenance of written supervisory procedures.
  • Project management, planning and issue resolution – This role will be relied upon to handle complex issues and aggressive deadlines.
  • Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes.
  • On an as needed basis, review and approve securities transactions for suitability and documentation, including variable annuities, mutual funds, equities, and alternative investments.


  • Undergraduate degree in Business, Accounting, Finance or related discipline.  Graduate degree a plus.
  • 4+ years of industry experience, which is defined as significant experience working the brokerage or investment advisory industry and handling compliance issues
  • Series 7, 66 (or 63 and 65), 24 (or 9 and 10), 53 required (or the ability to obtain the S53 within 90 days)
  • Series 4 and Life and Health Insurance License a plus
  • Strong knowledge of FINRA, SEC, and State rules and regulations
  • Knowledge of mutual funds, annuities, general securities, and other financial products
  • Ability to develop compliance processes and strategies for effective supervision
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Strong analytical and organizational skills and the ability to keep track of multiple deadlines and projects
  • Exceptional oral and written communication skills and the ability to independently draft letters and other documents
  • Proficiency in all Microsoft applications, particularly Excel, Word, Access, and PowerPoint

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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, San Diego, California, United StatesRemove