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Analyst, SIU

Job ID: R-004471 Date posted: 09/20/2018 Primary Location CA-San Diego

Analyst

The Analyst position will report to the Vice President of the Special Investigations Unit (SIU).  The position will be located in our San Diego office. SIU is situated within LPL’s Legal Department and works closely with the firm’s Regulatory, Litigation and Whistleblower groups.  The unit investigates matters involving potentially significant misconduct by financial advisors and employees, proactively identifies potential areas of exposure within the company, and provides advice to senior management and appropriate firm committees.

The successful candidate will be responsible for supporting investigations, providing lead investigators with necessary information and reports.  Additional responsibilities will also include providing intake, coordination and referral for the Whistleblower & Integrity Ombudsperson, as well as track, create and provide metrics for that group.

Key Responsibilities Include:

  • Support lead investigators on internal investigations
  • Track and create metrics related to internal investigations
  • Coordinate and review documents related to internal investigations
  • Conduct intake, referral and tracking for the Whistleblower & Integrity program
  • Create metrics for the Whistleblower & Integrity program

    Qualifications:

  • The successful candidate will have substantial (3 years +) hands-on experience in a Special Investigations Unit (or equivalent) at a financial services firm or a law enforcement agency, investigating matters involving fraud, theft, schemes to defraud, etc.
  • Excellent oral communication skills, including substantial experience in conducting interviews
  • Excellent writing skills
  • Strong skills in MS Office; Excel, Access, Outlook, Word, PowerPoint, etc.
  • A college degree is required, a law degree is desirable as is the Certified Fraud Examiner (CFE) designation, or equivalent

    Series 7 and/or Series 24 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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  • Compliance, San Diego, California, United StatesRemove