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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 LPLFinancialHiring@lplfinancial.com.
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Analyst eComm Compliance

Job ID: R-019064 Date posted: 11/23/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

Do you enjoy learning about new technology, and understanding the ins and outs of what makes it work?  Do you excel at using data to help identify improvement opportunities and drive decision making?  Are you a detail oriented person, who enjoys working on a diverse set of tasks and projects?

Excited to learn more? If so, then this could be the role for you! 

The Electronic Communications Compliance (eComm) team within the Compliance, Legal and Risk (CLR) organization is seeking an Analyst to help us ensure the technology we use is in compliance with all of the regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will be on the front lines, working with key stakeholders to help our Advisors protect their business from legal and compliance risk.

In this role you will

  • Evaluate and test eComm tools in order to proactively identify CARS requirements and improvement opportunities.  eComm tools include (but are not limited to) email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web-portals.
  • Support the delivery of strategic mergers and acquisitions by raising awareness of LPL's compliant digital capabilities throughout the process. Ensure that all eComm is accounted for and positioned to be compliant on day one.
  • Work with stakeholders to continuously improve efficiency and overall effectiveness of LPL’s eComm control framework.
  • Leverage the Agile methodology to deliver compliant digital capabilities in support of LPL’s strategic plays.

Please note: Additional responsibilities or duties may be assigned to you as needed or determined.

Within the 90 days of starting this role you will have a fundamental understanding of LPL’s eComm ecosystem and control framework.  You will also be actively contributing towards the team’s overall success.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

  • At least 3 years of experience working in digital products or in a risk management role.
  • An intellectual curiosity pertaining to risk, compliance, and technology is required.
  • Must possess a strong technical aptitude with the ability to think critically in order to manage identified issues and provide solutions.
  • Must be a team player with outstanding communication skills and emotional intelligence.
  • Prior Broker Dealer experience, or prior experience in digital compliance is preferred.

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.

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 @lplfinancial.com 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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