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Senior Analyst Compliance

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Job ID R-025089 Date posted 09/01/2022 Primary Location USA-Remote

Do you enjoy learning about new technology, and understanding the ins and outs of what makes it work?  Do you excel at using data to help identify improvement opportunities and drive decision making?  Are you a detail oriented person, who enjoys working on a diverse set of tasks and projects?

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.


Excited to learn more? If so, then this could be the role for you!  

Role Overview


The Electronic Communications Compliance (eComm) team within the Compliance, Legal and Risk (CLR) organization is seeking a Senior Analyst to help us ensure the technology we use is in compliance with all of the regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will be on the front lines, working with key stakeholders to help our Advisors protect their business from legal and compliance risk.
In this role you will

Responsibilities

  • Manage and support firm wide risk and compliance activities for digital tools that contain electronic communication. Electronic communication may include, but is not limited to email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web-portals. Proactively identify any CARS requirements and improvement opportunities for such tools.  
  • Create, execute, and oversight a reasonably designed control framework to support LPL’s Digital Office initiative. Digital Office is a suite of capabilities that includes cloud-based email, instant messaging, collaboration, and appointment scheduling.
  • Work closely with business and technology stakeholders to identify use cases that enable written electronic communication. Develop requirements, conduct testing, and create oversight models to support the compliant delivery of these capabilities. 
  • Help oversee control performance, ensure that key eComm controls are performed within appropriate guidelines given the risk profile.
  • Perform eComm controls and participate in project engagements as a subject matter expert, as needed.

Please note: Additional responsibilities or duties may be assigned to you as needed or determined. 
Within the 90 days of starting this role you will have a fundamental understanding of LPL’s eComm ecosystem and control framework.  You will also be actively contributing towards the team’s overall success.

Requirements

  • 5+ years of experience working in a client facing or technology focused role.
  • 3+ years of experience leading/influencing as an individual contributor or manager.
  • In depth knowledge of Microsoft Office 365 suite of tools, with an emphasis on Exchange Online, Teams, and Bookings.
  • Experience developing and/or auditing controls for digital technology.
  • Team player with outstanding communication skills and emotional intelligence.
  • Must be highly adaptable and be comfortable with performing a wide variety of tasks.
  • Prior Broker Dealer experience, or prior experience in a risk management/compliance role is preferred.
  • Professional licenses and certifications focused in a compliance and technical area (for example FINRA Series 7/24 licenses, PMP, CBAP, CSM, CISA, Lean Six Sigma) is preferred.

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.

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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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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