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Senior Analyst E-Communications Compliance

Job ID: R-001052 Date posted: 01/24/2018 Primary Location CA-San Diego

We are currently seeking a Senior Analyst to join the Electronic Communications Compliance Team in our San Diego office.

The Electronic Communications Compliance (E-Comm) Team, as part of the Compliance Legal and Risk organization, has overall responsibility for ensuring that all electronic communications are captured, archived, retrieved, and supervised within the firm’s guidelines. The Senior Analyst performs a number key controls related to the capture of E-Comm, and has direct oversight responsibility over advisor offices that are hosting their own email server and sending copies of their messages to LPL (direct journaling).

The position requires excellent communication and organizational skills, a strong technical aptitude, as well as the capability to persistently engage with business partners in order to aggressively drive the resolution of open journaling issues.

Essential Functions

• Conduct daily monitoring of domain and user level journaling “health check” emails. Report and track all incidents related to health check failures. Escalate instances of health check failures to advisor offices and their technical points of contact. Drive engagement, ensure that all parties are held accountable, and obtain a timely resolution of any issue that is identified.

• Perform testing on third party email encryption solutions used by journaling offices to verify that the third-party encryption system does not interfere with the journaling process.  Engage with advisor offices to help them identify alternative solutions as needed.

• Investigate potentially unapproved email addresses detected within journaling offices.  Follow up to ensure that any email address used to conduct LPL business has been reported, configured to journal, and is fully remediated.

• Assist direct journaling offices with reporting new email addresses and completing their quarterly attestation through the Journaling Attestation Portal. Ensure journaling office Attesters understand their responsibilities to immediately report new email addresses and attest of the accuracy of the email addresses within their practice on a quarterly basis.  Work with Technology partners to develop and implement system enhancements for the Journaling Attestation Portal.

• Partner with advisor offices and their technical points of contact to ensure that any journaling issues are remediated. Obtain email messages (.pst files) that were unjournaled from advisor offices and support the ingestion of messages into LPL‘s archival and supervision systems as needed.

• Drive engagement and awareness across the firm about the risks that are associated with journaling and champion improvements of journaling controls in order to further mitigate risks.

• Manage and support projects, initiatives, and controls related to E-Comm as needed.


• Bachelors degree in a business or technical concentration.  MBA preferred.

• 3-5 years of experience in a senior level advisor facing, compliance, or technical role.

• An in depth understanding of technical concepts related to E-Comm capture and archiving (email, instant messaging, text messaging, and social media).

• Strong understanding of technical concepts related to email such as email transport rules, journal connectors, messaging systems integration, email encryption, networking, and message tracing.

• Proficiency in Microsoft Excel, Word, and PowerPoint.  Must be comfortable with pivot tables, performing vlookups, and using data analysis techniques in Excel. Knowledge of Access and Visio is preferred.

• Prior experience managing the resolution of issues in a Microsoft Exchange environment is strongly preferred.

• Securities licenses (Series 7 and 24) are preferred, but are not required.

• Advanced technical knowledge and knowledge of compliance, risk management, or prior experience in an E-Comm compliance role is highly desirable.

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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