Compliance AnalystApply Job ID: R-016923 Date posted: 08/31/2021 Primary Location CA-San Diego
LPL’s Compliance, Legal & Risk (CLR) organization is currently looking for a Compliance Analyst within the Product & Platform Compliance Department. If you are an individual who has a drive to deliver exceptional results, be part of a highly motivated team and are passionate about the work you do, this may be the right role for you!
The Analyst will be a key member of the team ensuring both LPL employees and advisors are adhering to SEC and FINRA regulatory requirements related to our firms Code of Ethics, Personal Trading Policies and other regulatory requirements.
What will you do?
The responsibilities of the Product & Platform Compliance Analyst include, but are not limited to:
- Perform comprehensive reviews of personal trading accounts disclosed by associated persons of LPL to ensure compliance with our Outside Investment Account and Personal Trading Policies.
- Work directly with broker dealers to ensure we have appropriate electronic data feeds set up or duplicate statements where applicable for personal trading accounts held away from LPL.
- Partner with OSJs, financial advisors and LPL managers to ensure new LPL advisors and employees are completing their required compliance attestations and meeting regulatory requirements.
- Review and approve ADV 2Bs for new advisors and review updates as needed for existing advisors.
- Research Political Contribution approval requests to ensure compliance with SEC and FINRA Pay to Play Rules.
- Maintain awareness of the industry news, and changes in the business or regulatory landscape, firm policies and department processes.
- Drive updates to policies and procedures to enhance our controls, identify gaps and improve the advisor experience.
- Perform other duties as assigned, including special projects, regulatory research and reporting
What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
What skills, experiences, and education are required?
- Bachelor’s degree
- 2+ years of financial services industry experience
- FINRA licenses, other industry certifications or designations preferred
- Excellent written and oral communication skills with the ability to make decisions and explain why
- Proficiency with Microsoft Office, especially Excel, Word and SharePoint
- High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance
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.
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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.