Analyst, Compliance

LPL Financial; Fort Mill (SC); On-site; USD 64,000 - 106,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Compliance Analyst for the Control Room to help safeguard MNPI and monitor trading activities while ensuring adherence to the firm\'s policies and regulatory requirements. You will review advisor and employee submissions to verify compliance with Outside Investment Accounts and Personal Trading policies, and collaborate with brokers to manage data feeds and attestations.

The role requires a strong grasp of SEC/FINRA rules, excellent communication, and the ability to

Qualifications

• Bachelor’s degree required.
• 2+ years of financial services industry experience.
• Proficiency with Microsoft Office applications.

Responsibilities

• Review submissions from advisors and employees to ensure compliance with LPL Policy.
• Ensure regulatory requirements are met and maintain awareness of industry changes.
• Review Outside Investment Account and Personal Trading Policies for associated persons.
• Coordinate with broker dealers to verify data feeds or duplicates for personal trading.
• Partner with OSJs, financial advisors and LPL managers to ensure attestations are completed.
• Review Political Contribution requests for Pay to Play compliance.
• Drive policy updates and contribute to process improvements.
• Perform regulatory research and reporting as needed.

Skills

Financial services experience

MS Office

Education

Bachelor's degree

Job description

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

LPL’s Compliance organization is currently looking for a Compliance Analyst within the Control Room. If you are an individual who has a drive to deliver exceptional results, be part of a highly motivated team and are passionate about the work you do, this may be the right role for you!

The Control Room at LPL Financial operates within the Compliance organization and serves as the firm’s central point for managing material nonpublic information (MNPI) and monitoring trading activities to detect conflicts of interest. The Control Room's primary mandate is to safeguard the integrity of sensitive information coming into and moving throughout the firm to prevent and/or manage potential or actual conflicts of interest.

The Analyst will be a key member of the team ensuring both LPL employees and advisors are adhering to SEC and FINRA regulatory requirements related to our firms Code of Ethics, Personal Trading Policies, Pay to Play and other regulatory requirements.

Responsibilities:

The Analyst will review submissions from advisors and employees to ensure compliance with LPL Policy. The candidate will play a critical role in ensuring LPL is meeting certain regulatory requirements. Responsibilities of the Analyst include, but are not limited to:

• Perform comprehensive reviews of personal trading accounts disclosed by associated persons of LPL to ensure compliance with our Outside Investment Account and Personal Trading Policies.
• Work directly with broker dealers to ensure we have appropriate electronic data feeds set up or duplicate statements where applicable for personal trading accounts held away from LPL.
• Partner with OSJs, financial advisors and LPL managers to ensure new LPL advisors and employees are completing their required compliance attestations and meeting regulatory requirements.
• Review Political Contribution requests to ensure compliance with LPL Policy, SEC and FINRA Pay to Play Rules.
• Maintain awareness of the industry news, and changes in the business or regulatory landscape, firm policies and department processes.
• Drive updates to policies and procedures to enhance our controls, identify gaps and improve the advisor experience.
• Perform other duties as assigned, including special projects, regulatory research and reporting.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree
• 2+ years of financial services industry experience
• Proficiency with Microsoft Office applications

Preferences:

• FINRA licenses, other industry certifications or designations preferred
• Excellent written and oral communication skills
• High level of analytical and problem-solving skills
• Ability to learn quickly and think strategically with attention to detail and quality assurance
• Self-motivator who can multitask and work well within a team atmosphere

Pay Range:

$63,860.00 - $106,399.00

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

• 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

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 [phone].

EAC 5.19.26