Compliance Control Room Analyst — Regulation & Risk

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 is seeking a Compliance Analyst for the Control Room to help safeguard MNPI and monitor trading activities while ensuring adherence to the firm\'s policies and regulatory requirements. You will review advisor and employee submissions to verify compliance with Outside Investment Accounts and Personal Trading policies, and collaborate with brokers to manage data feeds and attestations.

The role requires a strong grasp of SEC/FINRA rules, excellent communication, and the ability to

Qualifications

• Bachelor’s degree required.
• 2+ years of financial services industry experience.
• Proficiency with Microsoft Office applications.

Responsibilities

• Review submissions from advisors and employees to ensure compliance with LPL Policy.
• Ensure regulatory requirements are met and maintain awareness of industry changes.
• Review Outside Investment Account and Personal Trading Policies for associated persons.
• Coordinate with broker dealers to verify data feeds or duplicates for personal trading.
• Partner with OSJs, financial advisors and LPL managers to ensure attestations are completed.
• Review Political Contribution requests for Pay to Play compliance.
• Drive policy updates and contribute to process improvements.
• Perform regulatory research and reporting as needed.

Skills

Financial services experience

MS Office

Education

Bachelor's degree

Job description

LPL Financial is seeking a Compliance Analyst for the Control Room to help safeguard MNPI and monitor trading activities while ensuring adherence to the firm\'s policies and regulatory requirements. You will review advisor and employee submissions to verify compliance with Outside Investment Accounts and Personal Trading policies, and collaborate with brokers to manage data feeds and attestations.

The role requires a strong grasp of SEC/FINRA rules, excellent communication, and the ability to