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Sr. Compliance Specialist, Central Supervision

Job ID: R-003965 Date posted: 08/06/2018 Primary Location CA-San Diego

Sr. Compliance Specialist, Central Supervision

The Business Risk Management team is looking for an individual who is eager to learn.  The Sr. Compliance Specialist within Central Supervision will primarily be responsible for assisting the firm with oversight of consolidated statements prepared by our advisors and disseminated to their clients. This position will be responsible for assessing the validity of assets and their respective valuations to prevent misuse and fraud.

Specific areas of responsibility include, but are not limited to:

  • Performing daily and periodic surveillance and analysis of consolidated reporting activity and other activities of Financial Advisors.
  • Ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company.
  • Assist Central Supervision team with correspondence and books & records processing when necessary.
  • Acting proactively to identify potential issues and lead staff initiatives to improve and streamline surveillance procedures.
  • Keep current with firm-wide and financial services industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes.

Other Job Duties:

  • Work within a team environment to identify potential sales practice concerns
  • Assist with regulatory exams and requests as well as the maintenance of the department’s written procedures.
  • Identify and escalate potential compliance issues or red flags
  • Proactive collaboration and service-based responses with business partners on escalated issues
  • A passion for improving processes so they can be followed easily and lead to excellent results
  • Ability to develop compliance systems and strategies for effective supervision
  • Mentor and train junior staff members
  • Perform other duties, as assigned


  • Undergraduate degree in Business, Accounting, Finance or related discipline
  • 2+ year’s industry experience
  • Licenses (Series 7, 65/66, 24) not required, but a strong plus
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio.
  • Familiarity with BETA a plus
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Excellent oral and written communication skills
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills
  • Strong detail orientation and prioritization skills
  • Ability to work independently
  • Adapt, quickly adjust in fast-paced dynamic environment

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