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Assoc Analyst, Compliance

Job ID: R-005787 Date posted: 02/06/2019 Primary Location CA-San Diego

LPL Financial is currently seeking an Associate Analyst to join our team in Home Office Supervision. The candidate should be driven with excellent communication skills.  The candidate must have experience at reviewing large data, perform data analysis, identify data trends, generate reports, and be able to communicate those findings in concise, clear and easy to understand formats.  

Essential Duties and Responsibilities

  • Reporting to ensure the department is operating as intended and identify variances immediately to address any issues
  • Continually access and identify new risk items within departmental processes
  • Department Mailbox monitoring and working with internal departments for any communications to financial advisors, clients, or both.
  • Coordinating assignments of OSJs and Advisors to the Regional Supervisory Principals.  
  • Develop reporting, metrics to track progress with verbal and written communications summarizing key findings
  • Create new and improve existing analytics approaches to solve questions around complexity and process simplification in a creative way
  • Daily, weekly, monthly, quarterly and ad hoc reporting for management.

The Skills You Need

  • 2-3 years of Financial Industry Experience
  • Bachelor’s Degree preferred
  • Software/Systems Skills Required: Microsoft Office Suite with advanced skills in Access, Word, Excel and SharePoint.   
  • Software/Systems Skills Preferred: Oracle, Tableau, ASAT, Salesforce, Visio, Adobe Professional
  • Ability to meet strict deadlines with minimal supervision in a fast-paced environment
  • Excellent interpersonal skills with the ability to interact with various levels of personnel in addition to encouraging and building positive relationships
  • Ability to manage multiple assignments
  • Attention to detail and ability to analyze information
  • Excellent problem solving skills that affect daily operational matters
  • Thorough documentation skills and ability to document new processes
  • Must be self-motivated and effectively cope with changing environments

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