Advisor Compliance Analyst – ADV 2B & FINRA/SEC

LPL Financial LLC; Fort Mill (SC, FL); Vor Ort; USD 64.000 - 106.000; Vollzeit

Benefits dieser Stelle

Pay Range: $63,860.00 - $106,399.00.

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

More

Zusammenfassung

LPL Financial in Fort Mill, SC is seeking a Compliance Analyst to join the Investment Advisory Compliance team. The analyst will help ensure advisors comply with ADV Part 2B requirements and SEC/FINRA regulations governing advisory activities.

Key responsibilities include reviewing and processing ADV 2Bs for new advisors, updating records for existing advisors, and delivering strong service to our Advisors while collaborating with cross-functional teams on regulatory tasks.

Qualifikationen

• Bachelor’s degree or equivalent required.
• 3+ years of financial services industry experience.
• FINRA licenses (Series 7, Series 66 and Series 24) or other certifications preferred.
• Proficiency with Microsoft Office (Outlook, Teams, Excel and Word).
• Strong written and oral communication skills.
• High level of analytical and problem-solving skills.
• Customer service experience is a plus.

Aufgaben

• Review, approve and process ADV 2Bs for new advisors.
• Review updates for existing advisors.
• Deliver excelled customer-focused service to our Advisors.
• Collaborate with team and other departments to fulfill ADV 2B requests and/or other Advisory Compliance-related tasks.
• Perform other duties as assigned, including special projects, regulatory research and reporting.

Kenntnisse

Written and oral communication

Analytical and problem-solving

Customer service experience

Ausbildung

Bachelor’s degree

Tools

Microsoft Office

Jobbeschreibung

LPL Financial in Fort Mill, SC is seeking a Compliance Analyst to join the Investment Advisory Compliance team. The analyst will help ensure advisors comply with ADV Part 2B requirements and SEC/FINRA regulations governing advisory activities.

Key responsibilities include reviewing and processing ADV 2Bs for new advisors, updating records for existing advisors, and delivering strong service to our Advisors while collaborating with cross-functional teams on regulatory tasks.