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Intern, Compliance Associate

Job ID: R-002432 Date posted: 03/02/2018 Primary Location CA-San Diego

The Compliance Associate Intern will support the Centralized Consulting Group (CCG) department, which is a part of LPL’s Compliance, Legal and Risk (CLR) organization. The Compliance Associate Intern will have opportunities to gain exposure to the financial industry and the field of Compliance through daily activities, training sessions, and compliance projects. Our Compliance Associate will be responsible for assisting the team with departmental and team goals. 


  • Assisting CCG with projects that may include faxing, filing, mailing, contacting Advisors, and copying documents and maintaining databases
  • Submitting work orders for telecom, facilities and technology requests for the team 
  • Maintaining readiness to assist analysts working on various assignments such as reducing backlog within the various groups in GRC as well as serving on project teams
  • Performing other duties as assigned

Other Duties/Skill Requirements

  • Must be a strong team player
  • Strong IT background (Intermediate + experience with Access & SharePoint)  Proficient in Microsoft Office applications
  • Ability to manage multiple tasks 
  • Excellent organizational and communication skills 
  • Strong organizational skills 
  • Highly motivated/independent worker
  • Ability to work in a fast-paced, team environment
  • Enthusiastic and inquisitive


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 Business, Economics, Finance, or Accounting is highly desired.

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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