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The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at LPL Financial.As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our recruiters will explain what type of interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions that you have. You can also email us at
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Sr. Compliance Specialist

Job ID: R-019125 Date posted: 10/28/2021 Primary Location CA-San Diego

Are you looking for an exciting career?

This position will be responsible for the processing of insurance appointment paperwork and the securities registration and licensing of advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and via phone. Daily tasks include data entry in Oracle, FINRA Web CRD, and state insurance sites.

Additional duties include:

  • Process advisor requests, state registrations, exam requests, and insurance appointments.
  • Perform processing duties such as data entry, generating correspondence, processing new advisor paperwork and maintenance of advisor
  • Become proficient with understanding FINRA and state registration rules and regulations
  • Follow up with advisors and business partners for insurance appointments
  • Research items and handle escalations
  • Develop relationships with insurance carriers/sponsors


  • High School Diploma or GED Equivalency
  • Min 1 year experience in financial services, insurance, or a related financial organization
  • FINRA or Insurance Licenses/Certification-not required but a plus
  • Software/System: Proficient in MS Word, Excel, and Outlook
  • Must have strong written and verbal communication skills
  • Ability to handle multiple tasks in a high volume, fast paced atmosphere
  • Strong detail orientation and prioritization skills
  • Ability to work independently

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 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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  • Compliance, San Diego, California, United StatesRemove