Compliance Analyst

LPL Financial; Tempe (AZ); On-site; USD 64,000 - 106,000; Full time

Job summary

LPL Financial is seeking a Compliance Analyst to join its Investment Advisory Compliance team in Tempe. You will help ensure advisors comply with ADV Part 2B and SEC/FINRA regulations, handling ADV 2B requests and related tasks with accuracy and client-focused service.

You will collaborate across departments, support regulatory research, and contribute to a fast-paced, team-oriented environment as you help advisors pursue compliant, successful practices.

Qualifications

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

Responsibilities

• Review, approve and process ADV 2Bs for new advisors.
• Review updates for existing advisors.
• Provide excellent service to Advisors.
• Collaborate with teams to fulfill ADV 2B requests and other compliance tasks.
• Perform regulatory research and reporting as needed.

Skills

Written and oral communication skills

Analytical and problem-solving skills

Customer service

Microsoft Office proficiency

Education

Bachelor’s degree

Tools

Microsoft Office (Outlook/Teams/Excel/Word)

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.

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.

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
• 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

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. Your recruiter will be happy to discuss all that LPL has to offer!

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. 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.

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

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].