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Sr Analyst, Compliance

Job ID: R-006043 Date posted: 03/06/2019 Primary Location CA-San Diego

The RIA Compliance Analyst will be responsible for the oversight functions of Representatives providing investment management to clients through their own independently owned RIA under LPL’s Hybrid RIA Program. 

Functions include:

  • Review, analyze and resolve responses from Hybrid Advisors on exception reports and record comments into tracking system
  • Contact advisors for follow up on responses as necessary
  • Review the Hybrid Advisors RIA registration and disclosure documents
  • Provide ongoing compliance support to Hybrid RIAs
  • Identify issues and/or specific advisors that require escalation within the department
  • Perform risk and due diligence analysis on Hybrid RIAs
  • Lead special projects as assigned
  • Assist with team quality control reviews
  • Some travel required


  • Bachelor's Degree with a minimum of 5 years of financial services industry experience
  • Compliance experience and knowledge of RIA market or Hybrid RIAs preferred
  • Trading experience including experience reviewing and approving trades
  • Knowledge of FINRA, SEC and State rules and regulations
  • Series 7 registration is required
  • Series 24, 65, and 4 (or Series 24, 66 and 4) registrations are preferred or candidates must be willing to work to pass these exams within 90 days
  • Experience with all Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint, and Excel
  • Excellent analytical and communication skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

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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  • Compliance, San Diego, California, United StatesRemove