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Senior Analyst, Compliance

Job ID: R-015401 Date posted: 09/22/2021 Primary Location CA-San Diego

Job Description

Please do not contact the hiring manager directly. All internal applications and referrals must be properly submitted through the system and the assigned Recruiter will manage all inquiries related to the position. 

Job Overview

The Sponsor Compliance team in CLR is looking for a driven, self-motivated individual who is solution-oriented and passionate about delivering results to join the team.  The Sr. Analyst will report to the VP, Conflicts Management & Sponsor Compliance and will be primarily responsible for reviewing, evaluating and approving sponsor reimbursement submissions from OSJs and financial advisors in connection with expenses incurred through hosting internal training/educational and certain external client events.  The Sr. Analyst will be a key member of the team whose mission is to ensure both LPL employees and financial advisors comply with regulatory requirements, including FINRA Non-Cash Compensation regulations. 

What will you do?

The responsibilities of a Sponsor Compliance Sr. Analyst include but are not limited to:

  • Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures.
  • Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems.
  • Interact with internal and external partners as needed to provide consultative support and research and resolve issues.
  • Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements.
  • Drive updates to policies and procedures to enhance Sponsor Compliance efforts.
  • Track work internally for individual and team operational performance metrics.
  • Provide reporting on an as needed basis for trend analysis and oversight.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

What skills, experiences, and education are required?

  • Bachelor’s Degree
  • Minimum 3+ years of working knowledge or exposure to compliance programs within financial services.
  • Proficiency with Microsoft Office Suite, especially Excel and Powerpoint.
  • FINRA registrations, other industry certifications and knowledge of the brokerage industry preferred
  • Excellent written and oral communication skills with the ability to make risk-based decisions and present information to different levels of audiences.
  • High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance.

About CLR

The Compliance, Legal & Risk (CLR) team is focused on delivering an industry-leading client service and risk management experience by providing advisors and our internal business partners with proactive guidance, advice, advocacy and consultative partnerships.

Compensation Grade:


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Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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 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.

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  • Compliance, San Diego, California, United StatesRemove