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Analyst, Compliance

Job ID: R-013057 Date posted: 02/12/2021 Primary Location CA-San Diego

The Compliance, Legal & Risk (CLR) department within LPL Financial, is currently seeking an Analyst to join its Centralized Consulting Group (CCG).

CCG is comprised of experienced and licensed compliance professionals who quickly support resource and consulting needs within Compliance, Legal and Risk, lessening the dependence on contingent workers and outside consultants. CCG partners with CLR business units to address volume spikes and special projects, while also identifying and delivering productivity and effectiveness solutions.

The position requires excellent analytical, communication, and organizational skills, along with a passion for learning, and implementing new concepts related to compliance and the broker-dealer industry. 

Essential Functions:

  • Execute on assignments for various business units across CLR to ensure compliance with LPL policies and industry regulations
  • Analyze business processes and work flows to identify opportunities for efficiency recommendations and process improvements
  • Collaborate and share knowledge with CLR business partners and CCG colleagues
  • Support ad-hoc projects and initiatives related to CCG as needed
  • Series 7, 63 (or 65/66), and 24 licenses preferred


  • Bachelor's degree in a business-related field
  • 4+ 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
  • Highly analytical, strong attention to detail, excellent research skills, capacity to effectively multi-task
  • 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

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

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.

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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, San Diego, California, United StatesRemove