Skip Navigation
Search LPL Jobs

Search LPL Jobs

View All Current Opportunities at LPL Financial

Compliance Assessor Intern

Job ID: R-008747 Date posted: 02/12/2020 Primary Location CA-San Diego

Summer Intern, Compliance Assessor, CRA&T

Interns will be key members of the Compliance Risk Assessment & Testing team that will assist in facilitating the annual Compliance Risk Assessment and completing related testing of key controls, regulatory commitments, and remediation of known compliance issues.  Interns will have an opportunity to learn about federal and state rules and requirements inherent to LPL’s broker dealer and registered investment advisory business.  Day to day functions will provide an opportunity to interact with various business lines in Operations, Technology, and Compliance, Legal and Risk.  Interns may also assist Compliance Examiners with completing annual reviews of LPLs corporate OSJ (Office of Supervisory Jurisdiction) branches.  Lastly, interns will assist in other assignments throughout the internship period, as needed.

What You'll Do

Our competitive 10- week paid graduate internship is an unparalleled opportunity to develop as a leader while sharpening your skills. The aim of our internship program is to provide students a valuable workplace experience to enhance their educational and professional goals. The projects that you drive during the summer will be tailored to your interests and will strategically affect change at our company. You will also have the chance to develop a deeper understanding of our culture and core values though career workshops, senior executive interactions, and community involvement opportunities.

We're looking for goal-oriented people who thrive in a fast-paced team environment and are eager to apply their problem solving skills to real business challenges. We empower employees to transform their skills, interests and connections into meaningful, collaborative solutions that work for the good of all of our stakeholders – our colleagues, customers and communities.

Position Overview

Responsibilities

  • Assist CRA & Testing team with assessing regulatory risk and evaluating the design and operating effectiveness of compliance related processes and controls.  
  • Assist with reviewing corporate OSJ compliance with applicable regulatory and firm requirements.
  • Perform ad hoc projects and tasks as directed by CRA&T management.

Other Duties/Skill Requirements

  • College student who will have completed their sophomore or junior year in 2020
  • Strong analytical skills with high attention to detail and accuracy
  • Skilled written and verbal communicator
  • Applied use of Microsoft Office applications

Location

San Diego, CA

Schedule

Internship Standard Length

Monday through Friday 8-4:30

Average Hours Per Week

40

Skills & Qualifications

  • College student who will have completed their sophomore or junior year in 2020.
  • We prefer students in the Finance and Accounting programs, but will also consider other academic programs.
  • 3.0 Minimum Overall GPA Required
  • Strong analytical skills with high attention to detail and accuracy
  • Skilled written and verbal communicator
  • Applied use of Microsoft Office applications

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 @lpl.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.

Sign Up for LPL's Talent Community

If you’d like to receive recruiter outreach, news and information from LPL Financial, as well as details on current opportunities that match your preferences and interests, please sign up below.

Area(s) of InterestSelect a job category from the list of options. Search for a location and select one from the list of suggestions. Finally, click “Add” to create your job alert.