Examiner

LPL Financial; Charlotte (NC); Remote; USD 60,000 - 90,000; Full time

Job summary

LPL Financial seeks an Examiner to ensure compliance with financial regulations, focusing on the examination of branch practices and activities. As part of a remote role requiring travel, you'll evaluate and monitor compliance to protect both client and company integrity. Candidates should possess a Bachelor's degree and at least three years of experience in financial services, showcasing strong audit and regulatory skills.

Qualifications

• 3+ years of experience in the financial services industry.
• Professional demeanor for client-facing roles.
• Proficiency in Microsoft applications.

Responsibilities

• Perform branch examinations to assess compliance with regulations.
• Conduct virtual/in-person consultations with offices.
• Prepare audit letters based on examination findings.

Skills

Customer Service

Communication

Problem Solving

Detail Orientation

Relationship Building

Education

Bachelor's degree (B.A./B.S.)

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

Job description

3 days ago Be among the first 25 applicants

Our Examiners are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Examiner will consult with branch managers, advisors, and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. This is a remote, based position with the requirement for travel and a proximity to a regional airport location. Responsibilities include independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business). Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff. Prepare audit letter based on deficiencies identified during branch examination and provide instructions, both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all regulations. Use all company-provided tools and systems required to perform thorough audit and document findings in detail. Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses. Collaborate with peers and management to streamline processes and create efficiencies for the department. Requirements include possibility of some domestic travel (up to 20%) which will require carrying luggage and audit paperwork (approx. lifting at least 40 pounds), professional demeanor to represent LPL in a client-facing role and across all levels within and outside the organization, proficiency in Microsoft applications (Word, Excel, Outlook), skilled in building relationships and collaborating with business partners, excellent customer service skills, consultative partner abilities, effective communication skills, ability to proactively identify risk and use sound judgement, initiative and problem solving in a complex environment, ability to leverage resources and navigate the organization, proven track record for working independently, meeting job responsibilities, and detail orientation. Education requirement is a Bachelor's degree (B.A./B.S.) and minimum of three years of experience in the financial services industry. Preferences include FINRA securities registrations (including SIE, Series 7, and Series 24 licenses) and prior compliance or supervisory experience.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

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