Analyst, Compliance

Lpl Financial Services Fort Mill , SC 29716

Posted 4 months ago

We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department, which is a part of LPL's Compliance, Legal & Risk (CLR) organization.

The Analyst, Advisor Review is responsible for knowledge of compliance review of outside business activities, and 3280 private securities transactions, including review and approval of representatives wishing to join LPL Financial. Furthermore, the Analyst will coordinate and manage a number of projects across various processes within the Advisor Review department, primarily focusing on the monitoring and risk rating of various outside business activities. This position works closely with several departments throughout CLR as well as with the New Client Onboarding and Business Consulting teams.

Essential Functions:

  • Conducts due diligence on advisors before they join LPL Financial

  • Reviews requests for Outside Business Activities & Private Securities Transactions submitted by advisor

  • Create and analyze departmental metrics to assist to boost overall efficiency and productivity

  • Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives

  • Performs other duties and completes ad hoc projects as assigned

Other Job Duties:

  • Work on special projects

  • Perform other duties as assigned

  • Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations.


  • Bachelor's degree in a related field required

  • 3+ years industry experience in a comparable function

  • Series 7 and 24 (or 9/10) required

  • Series 3, 4, 27, 53 and/or 65 a plus

  • Variable life and annuity registrations a plus

  • Proficiency with all Microsoft applications, particularly Word, Access and Excel

  • Technology/database background a plus

  • Excellent oral and written communication skills

  • Ability to meet deadlines in a fast paced environment

  • Salesforce and Oracle experience a plus

  • Ability to function cooperatively and build consensus on compliance related issues among managers, employees and financial advisors

  • Strong analytical and research skills

  • Strong attention to detail

  • Knowledge of FINRA, SEC, and State rules and regulations

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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Analyst, Compliance

Lpl Financial Services