Sr Analyst, ComplianceApply Job ID: R-002083 Date posted: 01/12/2018 Primary Location CA-San Diego
The Market Surveillance Group is principally responsible for conducting reviews aimed at detecting, preventing and investigating abusive, manipulative and illegal trading. The Senior Analyst will conduct thorough Market Surveillance reviews and investigations into subject matters such as insider trading; low-priced securities, and Firm concentration, among others.
The Senior Analyst has had significant experience in the securities industry conducting these types of reviews and investigations and/or has extensive securities trading experience that lends itself to effectively conduct these types of reviews. Essential Functions:
o Conduct reviews into potential insider trading activity, low-priced security transactions, and other areas involving possible market manipulation.
o Perform investigations into possible violations of federal or states laws/regulations, self-regulatory requirements, and LPL policies.
o Ensure appropriate communication and collaboration with different Firm departments and personnel, as well as Financial Advisors and other field personnel.
o Bachelor’s degree and 3-5 years of industry experience required.
o Securities licenses strongly preferred.
o Minimum 3 years of Retail Broker/Dealer experience.
o In depth knowledge of SEC, FINRA and other SRO rules; Understanding and awareness of legal and regulatory landscape required.
o Experience in performing market surveillance and associated investigations required.
o Experience with market surveillance-related vendor offerings and technology capabilities highly desired.
o Strong project management, process improvement, and change management experience a plus.
o Thorough and detail-oriented with strong investigative skills.
o Highly analytical with excellent research skills.
o Proficiency in all Microsoft applications required, most notably in Excel and Access.
o Excellent oral and written communication skills.
o Ability to multi-task, deliver complex projects on time, and meet deadlines
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.
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.