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Analyst, eComm Supervision

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Job ID R-025183 Date posted 08/31/2022 Primary Location USA-Remote

Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

The eComm Supervision Analyst will be responsible for working on tasks related to the firm's electronic supervision program, which includes running and analyzing reports, recommending changes to the firm's program based on risk, reviewing electronic communications, making presentations to larger committees, and other items related to lowering our risk profile related to the supervision program.

Role Overview:

  • Running and analyzing reports in our electronic supervisory platforms
  • Recommending changes to our keywords and lexicons for electronic supervision
  • Reviewing and supervising electronic communications
  • Work with our offshore partners who review electronic communications
  • Create reporting for senior management, such as trend reporting
  • Review and Quality Control of artificial intelligence and machine learning bots actions and recommendations
  • Testing and verifying system updates and implementation of new technology within the system, such as additions of social media supervision

Skills/ Abilities:

  • Strong knowledge of mutual funds, annuities, alternative investments, general securities, and other financial products required
  • Ability to work in a fast paced/high volume environment
  • Strong knowledge of FINRA SEC, and State rules and regulations
  • Ability to develop compliance systems and strategies for effective supervision
  • Focus on delivering great customer service and accurate information
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Excellent oral and written communication skills
  • Ability to make regulatory and supervisory-based decisions will be necessary
  • Very strong analytical skill
  • Strong knowledge in all Microsoft applications; particularly Excel and PowerPoint

Requirements:

  • Undergraduate degree in Business, Accounting, Finance, or related discipline preferred
  • A minimum of 3 years’ experience in supervision, compliance and/or regulatory matters.
  • A minimum of 2 years experience supervising electronic communications
  • Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
  • Must be proficient in Microsoft Excel, PowerPoint, and Outlook
  • Series 7 andSeries 24 (or 9 and 10) required; Series 66 (or S63 and S65), Series 4 & 53 are a plus (for candidates with S24);

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 @lplfinancial.com 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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Video Called We are LPL

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employees on what it's like to work at lpl?

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We take social responsibility seriously.

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Want to see info on our benefits?

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