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Compliance Analyst, Surveillance

Job ID: R-004289 Date posted: 08/28/2018 Primary Location CA-San Diego

We are currently looking to hire a Compliance Analyst within the Surveillance Department, which is a part of LPL’s Compliance, Legal, and Risk (CLR) organization.  The Compliance Analyst will be responsible for monitoring and oversight of financial advisor sales activities and the related supervision of those activities.

Essential Functions:

  • Reviewing exception reports to detect and address potential sales practice and related supervisory concerns, including active trading, switching, account concentrations, account losses, advisor credit monitoring, and other concerning patterns displayed in end-client account activity in a variety of products
  • Performing comprehensive risk reviews and sales practice investigations of a complex and highly sensitive nature:
  • Synthesize and assess the “risk profiles” (business mix, sales practices, credit, disciplinary history, customer complaints, supervisory record, etc.) of advisors and OSJs;
  • Investigate specific instances of questionable sales activity or deficient supervision
  • Recommend an appropriate level of oversight or corrective action to management and the firm’s respective risk management committees

Other Job Duties:

  • Performing other duties as assigned, including occasional special projects, account-related research, creation of management reporting, etc.
  • Maintain awareness of industry news, and changes in the business or regulatory landscape, firm policies, and departmental processes

Job Requirements:

  • Bachelor’s degree and 3 years of relevant experience required
  • Knowledge of SEC, FINRA and other SRO rules; understanding and awareness of legal and regulatory landscape are all required
  • Securities licenses strongly preferred (Series 7 & Series 24)
  • Experience in performing complex research, reviews and investigations

Other Skills:

  • Ability to meet deadlines in a fast paced environment
  • Meticulous attention to detail
  • Highly analytical with excellent research skills
  • Strong writing skills, verbal communication and presentation skills, and ability to interface with senior management
  • Proficiency in all Microsoft applications, most notably in Excel, Access and SharePoint

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