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Intern, Advisory Compliance

Job ID: R-002426 Date posted: 03/02/2018 Primary Location CA-San Diego

The Summer Intern, Advisory Compliance will primarily be responsible for developing a metrics program to help us quantify the effectiveness of the Compliance Program. The Advisory compliance team is a part of LPL’s Compliance, Legal and Risk (CLR) organization. The Advisory Compliance team works to support new and existing advisory business within the regulatory framework.


  • Understand Advisory Compliance’s metrics approach
  • Work with various CLR departments to gather Advisory related data 
  • Develop an understanding of what data is meaningful to our program
  • Implement a KRI methodology
  • Establish an effective mechanism to intake the data on a monthly cadence
  • Develop reporting tools to be used to effectively within Advisory Compliance as well as to report out to CLR Management 
  • Document policies and procedures for the metrics process

Other Duties/Skill Requirements

  • Excellent analytical skills
  • Strong verbal and written communication skills
  • Ability to work within and meet tight deadlines and multitask efficiently
  • Ability to function cooperatively with other departments, and understand processes within different departments
  • Other duties as assigned


4707 Executive Drive, San Diego, CA 92121


Internship starts 6/4 through 8/10

Monday through Friday 8-5

Average Hours Per Week


Skills & Qualifications

Active enrollment in Bachelor’s degree program, approaching your senior year, as well as a minimum GPA of 2.5. Pursuing a degree in Bachelor’s degree in Computer Science, Engineering, Mathematics.

For Consideration
When applying please attach a copy of your unofficial transcripts, resume and cover letter stating why you are interested in our internship position and what makes you a strong applicant. We’ll be in contact quickly to let you know if your application has been successful and what the next steps will be.  Thanks for your interest!

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.  

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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