Compliance Analyst – Investment Advisory (Stock Options)

LPL Financial; Tempe (AZ); Presencial; USD 64 000 - 106 000; Tempo integral

Resumo da oferta

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.

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Written and oral communication skills

Analytical and problem-solving skills

Customer service

Microsoft Office proficiency

Formação académica

Bachelor’s degree

Ferramentas

Microsoft Office (Outlook/Teams/Excel/Word)

Descrição da oferta de emprego

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.