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Sr. Compliance Specialist – Compliance, Legal & Risk, Business Process Outsourcing (BPO)

Job ID: R-005929 Date posted: 02/20/2019 Primary Location SC-Fort Mill Other Locations CA-San Diego

The Compliance, Legal & Risk (CLR) department within LPL Financial is currently seeking a Senior Compliance Specialist to join the Business Process Outsourcing (BPO) team.

Business Process Outsourcing (BPO) is the centralized group for operationalizing all offshored CLR functions. Performance Assurance reviews, conducted by the PA Team, enhance the program by assessing tasks performed by the current offshore vendor. These reviews seek to optimize/improve processes, procedures, and increase efficiencies, where applicable. The PA Team ensures that the output from the offshore processors are meeting not only the Service Level Agreements (“SLAs”) as stated in the SOW, but also meeting the expectations of our CLR department partners.

Essential Functions:

  • Review tasks performed by the current offshore vendor for accuracy and completeness
  • Identify opportunities for additional offshore training
  • Collate and disseminate data on pass/fail results for reporting to CLR leadership
  • Explore potential workflow efficiencies and options for optimizing existing Standard Operating Procedures (SOPs)
  • Proactively work with teams to help prevent errors and achieve good work quality and consistency in work product 
  • Participate in the development of enhanced PA processes
  • Effectively communicate with colleagues and the management team to address issues and needs                                             
  • Support ad-hoc projects and initiatives related to BPO as needed


  • Bachelor's degree in a business-related field preferred or equal experience
  • Proficiency in MS Excel with working knowledge of formulas, pivot tables, formatting, charting, reporting, VBA & macros
  • Excellent written and oral communication skills with the ability to collaborate and present information in differing degrees of detail depending on the audience
  • Analytical, strong attention to detail, excellent research skills, capacity to effectively multi-task
  • Ability to adhere to deadlines; be agile and flexible to quickly respond to changes with business needs

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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Area(s) of InterestChoose at least one job category and/or location.

  • Compliance, San Diego, California, United StatesRemove
  • Compliance, Fort Mill, South Carolina, United StatesRemove
  • Legal, San Diego, California, United StatesRemove
  • Legal, Fort Mill, South Carolina, United StatesRemove