Control Room Compliance Analyst

LPL Financial Corp; 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 to join the Control Room in the Compliance organization. The role focuses on reviewing advisor and employee submissions to ensure adherence to Outside Investment Account and Personal Trading Policies and other regulations.

The Analyst will monitor MNPI, support regulatory requirements, and collaborate with OSJs, financial advisors, and LPL managers to complete attestations and maintain robust controls.

Qualifications

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

Responsibilities

• Review submissions from advisors and employees to ensure compliance with LPL policies
• Ensure regulatory requirements are met including SEC and FINRA Pay to Play
• Maintain awareness of regulatory changes and update policies accordingly
• Perform regulatory research and reporting and support special projects

Education

Bachelor’s degree

Tools

Microsoft Office

Job description

LPL Financial is seeking a Compliance Analyst to join the Control Room in the Compliance organization. The role focuses on reviewing advisor and employee submissions to ensure adherence to Outside Investment Account and Personal Trading Policies and other regulations.

The Analyst will monitor MNPI, support regulatory requirements, and collaborate with OSJs, financial advisors, and LPL managers to complete attestations and maintain robust controls.