Compliance Analyst: Control Room & Regulatory Oversight

LPL Financial LLC; Fort Mill (SC); Presencial; USD 64.000 - 106.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Descripción de la vacante

LPL Financial Holdings Inc. is seeking a Compliance Analyst for the Control Room in a role focused on managing MNPI and monitoring trading activity to prevent conflicts of interest. You’ll review advisor and employee submissions to enforce policy compliance and work with brokers on data feeds.

Ideal candidates have a Bachelor's degree, 2+ years in financial services, and strong communication and analytical skills. The role emphasizes accurate regulatory adherence and policy updates.

Formación

• Bachelor’s degree required; 2+ years in financial services preferred.
• Strong written and oral communication skills.
• High level of analytical and problem-solving ability.
• Proficiency with Microsoft Office applications.

Responsabilidades

• Review submissions from advisors and employees to ensure policy compliance.
• Work with broker dealers to verify electronic data feeds or duplicate statements.
• Partner with OSJs, financial advisors and managers to complete compliance attestations.
• Review Political Contribution requests for Pay to Play compliance.
• Maintain awareness of regulatory changes affecting policies and controls.

Conocimientos

Communication skills

Analytical thinking

Problem solving

Attention to detail

Microsoft Office

Educación

Bachelor's degree

Herramientas

Microsoft Office

Descripción del empleo

LPL Financial Holdings Inc. is seeking a Compliance Analyst for the Control Room in a role focused on managing MNPI and monitoring trading activity to prevent conflicts of interest. You’ll review advisor and employee submissions to enforce policy compliance and work with brokers on data feeds.

Ideal candidates have a Bachelor's degree, 2+ years in financial services, and strong communication and analytical skills. The role emphasizes accurate regulatory adherence and policy updates.