Retirement Compliance Lead (ERISA & Advisors)

LPL Financial

Fort Mill (SC)

On-site

USD 75,000 - 125,000

Full time

20 hours ago

Be an early applicant

Application generator

A complete application in a minute — tailored resume and cover letter, ready to send.

Get past ATS filters

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Job summary

LPL Financial, a leading wealth management firm, seeks a Senior Retirement Compliance Analyst to oversee retirement compliance programs and ERISA-related requirements, partnering across the organization to strengthen oversight and readiness for regulatory examinations.

The role supports retirement initiatives, reviews advisor participation, and maintains compliance documentation while collaborating with internal teams and recordkeepers to drive program effectiveness and client protection.

Qualifications

Bachelor's degree in a related field.
3+ years of financial services compliance experience.
Experience with retirement plan compliance and ERISA-related requirements.

Responsibilities

Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting Program.
Review and approve advisor participation in retirement-focused programs.
Support regulatory examinations, audits, and compliance reviews.
Monitor annual compliance questionnaires, attestations, and advisor follow-up requirements.
Partner with internal business teams to understand and enhance processes.
Develop and maintain desktop procedures and compliance documentation.
Collaborate with recordkeeper partners and internal stakeholders to support retirement initiatives.
Communicate effectively with advisors and internal business partners.