Compliance Analyst: ADV & Regulatory Champion

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's Investment Advisory Compliance team seeks a Compliance Analyst who thrives in a collaborative environment and is committed to delivering results. The Compliance Analyst will support ensuring advisors comply with ADV Part 2B requirements and SEC/FINRA regulations governing advisory activities.

You will process ADV 2Bs, support regulatory requests, and collaborate across departments. Ideal candidates bring 3+ years in financial services, FINRA licenses, strong communication and

Qualifications

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

Responsibilities

• Review, approve and process ADV 2Bs for new advisors.
• Review updates as needed for existing advisors.
• Deliver excellent 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, including special projects, regulatory research and reporting.

Skills

Financial services experience

Communication skills

Analytical thinking

Customer service

Team collaboration

Education

Bachelor's degree

Tools

Microsoft Office

Job description

LPL Financial's Investment Advisory Compliance team seeks a Compliance Analyst who thrives in a collaborative environment and is committed to delivering results. The Compliance Analyst will support ensuring advisors comply with ADV Part 2B requirements and SEC/FINRA regulations governing advisory activities.

You will process ADV 2Bs, support regulatory requests, and collaborate across departments. Ideal candidates bring 3+ years in financial services, FINRA licenses, strong communication and