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Assoc Analyst, Compliance

Job ID: R-007618 Date posted: 09/13/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

Position Summary:

This position will be responsible for the processing securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone.   Daily tasks include data entry in Oracle, FINRA Web CRD, and state insurance sites.  

Essential Functions:

Process advisor requests, state registrations, exam requests, and Form U4 updates.  

Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registrations and insurance licensing. Learning and become proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions. Assisting partnering departments with questions and workflow. i.e. New Client Onboarding, Client Compensation

Job Requirements:

Minimum Education Required:  High School Diploma or GED Equivalency

Minimum Experience Required: 4 year experience in financial services, insurance, or a related financial organization is preferred but not required.

Licenses/Certifications – not required but a plus

Software/Systems Skills Preferred: Proficiency with computers skills including experience with Microsoft Word, Excel, and Outlook;


  • Must have strong communication skills
  • Ability to handle multiple tasks in a high-volume, fast-paced environment
  • Computer proficiency with Word and Excel
  • Strong detail orientation and prioritization skills
  • Ability to work independently
  • Adapt, quickly adjust in fast-paced dynamic environment

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
  • Compliance, Fort Mill, South Carolina, United StatesRemove