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Sr Analyst, Compliance

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Job ID R-025152 Date posted 09/01/2022 Primary Location CA-San Diego

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Are you interested in being part of a team that is working to transform and be at the cutting edge of the market? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Compliance, Legal & Risk (CLR) department within LPL Financial, is currently seeking a Sr. Analyst to join its Trading Compliance Group in the Ft. Mill or San Diego office.

The position requires excellent analytical, communication, and organizational skills, along with a passion for learning, and implementing new controls related to compliance and the broker-dealer industry

Responsibilities:

  • Execute on assignments for various business units across CLR and CARE to ensure compliance with LPL policies and industry regulations
  • Participate in the daily oversight of equities trading controls and trade reporting functions such as Electronic Blue Sheets and CAT
  • Collaborate with business partners to develop and test compliance protocols in new and existing trading tools and systems
  • Support ad-hoc projects and initiatives related to Trading Compliance’s mission

  • Support our advisors and their customers in successfully navigating firm Compliance policies related to trading matters to maintain Compliance or drive evolution of the program accordingly
  • Manage regulatory risk issues within LPL related to the sale and execution of traded products including developing and maintaining firm policies and procedures in coordination across business partners

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.

Requirements:

  • Bachelor’s Degree in Finance, Business Administration or equivalent work experience
  • Series 7, 63 (or 65/66)
  • Previous experience in trading, compliance, supervision, or surveillance  
  • Proven communication skills
  • Strong familiarity with investment products such as equities, ETFs, options, and mutual Funds
  • Knowledge of the applicable FINRA, SEC and regulations related to the trading of the above security types
  • Experience in participating in  a control framework

Preferences:

  • Extensive Knowledge of Compliance and Risk functions within a Broker/Dealer and Wealth Management organization
  • Technical knowledge of trading and trading systems (e.g. Order Ticket, TRF/ORF Reporting, CAT)

  • Practical knowledge of Blue Sky Laws and applicability to trading practices
  • FINRA Series  24
  • Strong technical skills across various business applications including Excel, SmartSheets, Powerpoint and others

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.

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.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 @lplfinancial.com 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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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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