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Compliance Specialist

Job ID: R-002010 Date posted: 03/13/2018 Primary Location CA-San Diego

We are currently looking to hire a Specialist within the Compliance Department, which is a part of LPL’s Compliance, Legal & Risk (CLR) organization.  Our Specialist will support the Compliance Team with daily tasks and inquires in regards to outside investment accounts as well as any ad hoc reports. In addition, the Specialist will have opportunities to gain exposure to the Financial Industry and the field of Compliance through daily activities, training sessions, and compliance projects.

Essential Functions:

oMaintaining databases and developing reports for managers.

oAnalysis and resolution of data quality issues and queries from electronic data feeds

oProcessing support requests from advisors and home office staff

oHandle questions relating to outside investment account policy by phone, email, or in person.

oHandle receipt of physical statements and confirms

Other Job Duties:

oPerforming other duties as assigned, including occasional special projects, account-related research, creation of management reporting, etc.

Job Requirements:

oHigh school diploma or equivalent

oMinimum of 1+ years of administrative/clerical support experience

oIndustry experience preferred but not required

Other Skills:

oAbility to meet deadlines in a fast paced environment

oMeticulous attention to detail

oAbility to manage multiple tasks

oExcellent organizational and communication skills

oProficiency in all Microsoft applications, most notably in Excel, Access and SharePoint

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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