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Compliance Specialist

Job ID: R-002164 Date posted: 02/09/2018 Primary Location CA-San Diego

We are currently looking to hire a Senior Registration Specialist within LPL’s Compliance, Legal, and Risk (CLR) organization. This is a full time position located at our San Diego office. The Sr. Registration Specialist is responsible for processing insurance appointment paperwork and the securities registration/licensing of Advisors.

Primary duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD, and state insurance sites.

Essential Functions:

  • Process advisor requests, state registrations, exam requests, and insurance appointments.
  • Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registrations and insurance licensing.
  • Learning and become proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.
  • Assisting partnering departments with questions and workflow. i.e. Transitions, Commissions


  • College degree preferred
  • Licenses (Series 7, 65/66, 24) not required, but a strong plus
  • 1-3 years of relevant experience in financial services, insurance, or a related financial organization
  • Proficiency with computers, including experience with Microsoft Word, Excel, and Outlook
  • Must have very strong communication skills
  • Ability to handle multiple tasks in a high-volume, fast-paced environment
  • Strong detail orientation and prioritization skills
  • Ability to work independently
  • Adapt, quickly adjust in fast-paced dynamic environment
  • A passion for improving processes so they can be followed easily and lead to excellent results

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

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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