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Compliance Analyst

Job ID: R-005566 Date posted: 01/17/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

This position is responsible for supporting Business Risk Management (BRM) as part of LPL’s Compliance Legal and Risk division. They will work with all levels of staff in the various units of  LPL Financial. This position requires excellent communication and writing skills, and the ability to quickly develop a working knowledge of LPL Financial technology, policies and procedures. The ability to interact with  all levels of staff including senior and executive management, as well as experience working within a broker/dealer environment; ideally  with a technology, compliance or risk background is preferred.

Responsibilities:

  • Assist in managing the BRM technology &  project portfolio
  • Assist coordinating priorities between BTS and BRM senior management and project teams
  • Manage escalations and follows up on outstanding issues
  • Drive technical and business issues to resolution.
  • Prepare and present oral and written reports and presentations
  • Ensure that Quality Control processes are followed and maintained
  • Serve as a subject matter expert between our BRM and BTS departments.
  • Develop and maintain client relationships and ensure client satisfaction
  • Participate in initiatives to improve the operational and technical capabilities of the firm

Engage in all facets of new initiatives, including brainstorming, providing specifications, testing, release

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