Advisory Compliance Analyst – FINRA/ADV Specialist

LPL Financial LLC; Tempe (AZ); Sur place; USD 64 000 - 106 000; Plein temps

Résumé du poste

LPL Financial in Tempe, AZ, is seeking a Compliance Analyst for the Investment Advisory Compliance team. You will help ensure advisors comply with ADV 2B requirements and SEC/FINRA rules while delivering precise, client-focused support to our financial professionals.

The role emphasizes collaboration across departments, processing ADV 2B requests, conducting regulatory research, and contributing to reports.

Qualifications

• 3+ years of financial services industry experience.
• FINRA licenses (Series 7, Series 66 and Series 24) or related certifications.
• Proficiency with Microsoft Office, especially Outlook, Teams, Excel and Word.
• Written and oral communication skills.
• High level of analytical and problem-solving skills.
• Customer service experience is a plus.

Responsabilités

• Review, approve and process ADV 2Bs for new advisors
• Review updates as needed 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.

Connaissances

FINRA licenses (Series 7/66/24)

MS Office proficiency

Communication skills

Analytical skills

Customer service

Description du poste

LPL Financial in Tempe, AZ, is seeking a Compliance Analyst for the Investment Advisory Compliance team. You will help ensure advisors comply with ADV 2B requirements and SEC/FINRA rules while delivering precise, client-focused support to our financial professionals.

The role emphasizes collaboration across departments, processing ADV 2B requests, conducting regulatory research, and contributing to reports.