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Senior Analyst, Compliance

Job ID: R-001048 Date posted: 12/06/2017 Primary Location CA-San Diego

LPL Financial is currently looking to hire a Senior Analyst, Compliance within the Compliance, Legal, Risk (CLR) business unit.  The Senior Analyst, Compliance will have two primary responsibilities.  The first, to lead the effort to compile and automate the necessary information to complete the firms’ ADV filing as required by the Securities and Exchange Commission (SEC).  The second, is for querying and analyzing data, composing written policies and procedures, and performing testing and oversight of the firm’s advisory activities including Third-Party Asset Management Program.

Essential Functions:

  • Work with multiple departments and leadership to capture the required information for the ADV filing
  • Lead the ADV process for CLR and LPL
  • Analyze and organize multiple large data sets
  • Communicate internally and externally with employees and advisor field staff


Other Job Duties/Skill Requirements:

  • Results Driven
  • Project management and process organization
  • Superior 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
  • Excellent analytical skills
  • Other duties as assigned


Qualifications:

  • Bachelor’s Degree or equivalent experience
  • 4+ years financial services compliance experience
  • Series 7 & 66 preferred and Series 24 a plus
  • Proficient in Microsoft Office 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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