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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, Registrations

Job ID: R-015519 Date posted: 06/07/2021 Primary Location CA-San Diego Other Locations SC-Fort Mill

LPL’s Compliance, Legal & Risk (CLR) organization is currently looking for a Compliance Analyst within the Registrations and Licensing department.  If you are an individual who has a drive to deliver exceptional results, has a curious and inquisitive mindset, and is interested in mitigating risk, this may be the role for you!

Responsibilities:

  • Risk Management - develop risk based mitigation approaches that may yield changes to functions, and departmental requirements. Includes ensuring all regulatory driven projects are completed within regulatory timelines.

  • Understand and interpret requirement modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments

  • Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.

  • Managing existing operational policies and procedures as well as the creation of new guidelines

  • Technology and Systems Management - Handling departmental projects as well as coordinating and performing QA and User Acceptance Testing.

  • Prepare testing results for presentation to management while supporting Compliance testers to gather management’s plan of action.

  • Assist with developing materials/presentations for management meetings, initiatives/project status, etc.

  • Analytical Thinking and Creativity – recognize gaps, problems, or opportunities and determine whether action is needed. Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.

  • Able to identify areas of opportunities in current processes to streamline workflow and reduce waste 

  • Develop reports and procedures to audit critical processes and to confirm data integrity

  • Assist with audit reviews, collection of data and materials for regulators, and/or Internal Audit

Qualifications:

  • Excellent verbal, presentation and written communication skills

  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities

  • Strong attention to detail with a proactive approach to solving and preventing problems

  • Ability to work under pressure/deadlines and manage multiple priorities

  • Ability to interface effectively with various levels of employees while being a liason for the firm

  • Strong time management and organizational skills

  • Highly motivated and able to adapt to changing priorities

  • Proven ability to multitask, prioritize workload, and collaborate across multiple business units

  • Working knowledge of regulatory requirements

  • Excellent written and verbal communication skills with the ability to present information in differing degrees of details and form depending on the audience

  • Financial Services experience is preferred

  • Lean Six Sigma certification is desirable

Software/Systems Skills Required/Preferred:

  • All Microsoft applications, particularly, SharePoint, Access, PowerPoint and Excel (VBA)

  • Familiarity with SQL, Oracle, Microsoft Dynamics, and Tableau

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.

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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