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Associate Analyst, Compliance

Job ID: R-007093 Date posted: 07/09/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

Compliance Associate:

The Compliance Associate, Virtual Services Marketing will assist the Manager, Compliance in supporting the Virtual Chief Marketing Officer (VCMO) Program with their compliance needs.

Essential Functions:

• Submit advisor materials to Compliance Max
• Enter all materials used in Compliance Max to ensure requirements for books and records are met
• Assist the Virtual Chief Marketing Officer with website approvals during advisor onboarding
• Audit Social Media profiles as advisors transition to the VCMO Program

• Perform routine website audits to ensure compliance with regulatory and LPL standards

Other Job Duties:
• Contribute to the VCMO department initiatives that may include policy updates and training

• Perform other tasks as assigned


• 1-3 years of Financial Services Experience

• Strong working knowledge of Excel, Word, and PowerPoint
• Must have excellent customer service skills and be able to communicate effectively

• Written and verbal communication skills
• Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
• Bachelor's degree preferred
Advertising/Marketing compliance experience preferred

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
  • Compliance, Fort Mill, South Carolina, United StatesRemove