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Associate Analyst, CLR

Job ID: R-004964 Date posted: 11/02/2018 Primary Location CA-San Diego

The Associate Analyst, Compliance, Legal, Risk will be responsible for leading technology, non-technology related projects and tasks with all levels of staff in the various units within LPL Financial including Technology, Operations, Investor Solutions and Compliance, Legal and Risk.This position will be a role in the CLR Project Management Office (PMO) team.

As a member of the CLR PMO, the position is responsible for completing projects and/or tasks working with a cross-functional team of Project Managers and Business Analysts who focus on driving excellence across LPL Financial by ensuring that the projects are driving the intended outcomes, identifying opportunities and executing process improvements.

This role requires regular interaction with senior inter/cross-departmental leadership, as well as executive leadership.

The Associate Analyst in CLR will be responsible for:

  • Ability to deliver business value in cross functional setting
  • Develop detailed project plans with identifiable critical paths, task dependencies, and major milestones, and manage the agreed project plans and schedules in agreement with all stakeholders
  • Interface with our internal customers and technical leadership to inform and understand requirements and priorities
  • Must be comfortable leading and presenting in front of all levels of management
  • Run regular transition reviews with project team members and stakeholders to assess progress, identify project key risks/concerns /issues and  take appropriate actions to resolve them


  • Bachelor degree in Business or Technical discipline with entry level experience
  • Strong attention to detail, ability to work independently and within a Team environment
  • Strong teamwork and experience in collaborating with individuals across lines of business, functional areas, and different levels of an organization
  • Ability to handle multiple projects, and tasks at any given time with minimal supervision
  • Excellent written and oral communication skills with the ability to collaborate and present information in differing degrees of details depending on the audience
  • Working knowledge of Word, Outlook, Excel, and PowerPoint

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