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Analyst, Information Lifecycle Management

Job ID: R-004431 Date posted: 04/08/2019 Primary Location CA-San Diego

The Analyst, Information Lifecycle Management (ILM), will primarily be responsible for performing controls that provide oversight of, and some requirements for, the technology used by the Firm to meet its regulatory Books and Records requirements.  Sitting in the Compliance, Legal, and Risk (CLR) organization, the Analyst, ILM, will perform or support multiple processes meant to ensure that the Firm’s regulatorily required records are accounted for, archived in a compliant manner, easily retrievable, and retained for the required amount of time.

The right candidate will have an ability to mitigate risk and enforce compliance, a passion for technology, and an innate desire to continuously learn, improve, and evolve.

Essential Functions:

  • Effectively execute processes and controls designed to manage an effective Books and Records compliance program;
  • Support all technology related aspects of an effective and compliant Books and Records management program, including ongoing oversight of record ingestion into the Firm’s electronic storage media, gap remediation when necessary, the establishment and testing of new ingestion processes, and other tasks related to the firm’s official electronic repositories;
  • Analyze new record types, or changes to existing record types, to provide input on archival requirements, including identification of all regulatory requirements/rules, assigning appropriate retention, specifying required metadata, confirming retrievability, and ensuring the firm’s Records Inventory is updated accordingly;
  • Work closely with subject matter experts and senior leaders across the entire organization through the annual process of refreshing the Firm’s records inventory;
  • Support the record destruction process (both physical and electronic);
  • Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management;
  • Assess and strengthen ILM processes and controls, and
  • Support corporate initiatives that impact the Firm’s management of data and records.

Qualifications:

  • Bachelor's degree in Business, Technology/MIS, Finance, or a related field preferred
  • 1-3 years’ experience in the financial services industry in a compliance, legal, technology or risk capacity preferred
  • Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access
  • Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, especially Books and Records requirements
  • Advanced Microsoft (Word, Excel, Access and PowerPoint) user, Visio, Adobe Acrobat, SharePoint and Outlook
  • Series 7 or Series 99 a plus

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