Compliance Analyst

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

Benefits offered by this job

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

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

More

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Written and oral communication

Analytical and problem-solving

Customer service experience

Education

Bachelor’s degree

Tools

Microsoft Office

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.

Job Overview

LPL’s Investment Advisory Compliance team is seeking a Compliance Analyst who thrives in a collaborative environment and is committed to delivering exceptional results. The Compliance Analyst will play a key role in ensuring prospective and existing advisors comply with ADV Part 2B requirements and other applicable SEC and FINRA regulations governing advisory business activities.

Responsibilities

• 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.

Requirements

• Bachelor’s degree
• 3+ years of financial services industry experience
• FINRA licenses (such as Series 7, Series 66 and Series 24), other industry certifications or designations preferred
• 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 as we aim to provide exceptional service to our Advisors and collaborators

Benefits

• 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.
• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off
• More

EOE.

For further information about LPL, please visit www.lpl.com.

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(6), 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.

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.

* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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