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Sr Regulatory Analyst

Job ID: R-005779 Date posted: 01/31/2019 Primary Location CA-San Diego

Regulatory  Exams and Inquiries is currently looking for a Senior Regulatory Analyst within our Team,  which sits within the Firm’s Compliance organization. The Regulatory Examinations and Inquiries Team is primarily responsible for responding to a broad range of regulatory examinations and other inquiries, such as SEC, FINRA and state securities division examinations, sweep requests, and other inquiries.  Senior Regulatory Analysts work independently in gathering information and developing responses to regulatory inquiries, including investigating, drafting, and submitting responses to regulators, and interfacing directly with regulators, all levels of home office staff, and financial advisors during the course of regulatory inquiries and examinations.

Essential Functions:

Respond to regulatory inquiries. This involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response.

Serve as liaison for branch exams conducted by regulators.

Assist financial advisors with regulatory exams, and provide regulators with requested information.

Serve as a liaison for FINRA and SEC exams.

Assist firm employees in preparing for the exam, and support them throughout the exam process.

Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.

Keep abreast of, analyze, and understand regulatory requirements and compliance procedures.


Experience working in the brokerage or investment advisory industry and familiarity with compliance issues.  3+ years of such experience is generally preferred.

Series 7 and 24 licenses preferred.

Bachelor's degree.

Clear communication and excellent writing skills.

Excellent attention to detail. 

Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects.

Ability to work independently.

A desire to constantly learn and to improve the team’s processes so that they can be followed easily and lead to excellent results.

Ability to travel on occasion as needed

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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