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Associate Analyst, Compliance

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Job ID R-025665 Date posted 09/19/2022 Primary Location CA-San Diego Other Locations TX-Austin

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Marketing Solutions is a part of the LPL Services Group (LSG), a growing professional services company within LPL Financial that helps advisors and institutions execute on their biggest opportunities. Our human-led, tech-enabled services help our customers deliver great financial advice and run thriving businesses. Over 500 employees strong, we come to work each day dedicated to making an impact in lives of advisors, institutional partners, and investors.


Job Overview:

The Compliance Associate, Marketing Solutions will assist the Manager, Compliance in supporting the Marketing Solutions Program with their compliance needs.

Responsibilities:

  • Submit advisor materials to Compliance Max
  • Act as a liaison between the Compliance Analysts and Marketing Consultants to communicate any required changes or approval comments
  • Enter all materials used in Compliance Max to ensure requirements for books and records are met
  • Assist the Marketing Consultants with website approvals during advisor onboarding
  • Audit Social Media profiles as advisors transition to the Marketing Solutions Program
  • Perform routine website audits to ensure compliance with regulatory and LPL standards
  • Contribute to the Marketing Solutions department initiatives that may include policy updates and training
  • Perform other tasks as assigned

Requirements:

  • 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

Core Competencies:

  • Analytical
  • Reliable
  • Team Player

Preferences:

  • SIE and Series 7 top-off
  • 1-2 year of financial services experiences focused on investment products
  • Previous working knowledge of securities licensing, insurance licensing

#VF

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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Video Called We are LPL

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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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