Senior Analyst, Sponsor Compliance

LPL Financial LLC; Fort Mill, Charlotte (SC, NC); Sur place; USD 75 000 - 125 000; Plein temps

Avantages offerts par ce poste

401K matching

Health benefits

Employee stock options

Paid time off

Résumé du poste

LPL Financial LLC is seeking a Sr. Analyst for Sponsor Compliance to review, evaluate, and approve sponsor reimbursement submissions from OSJs and financial advisors for expenses related to training and client events.

The role ensures compliance with regulatory requirements including FINRA Non-Cash Compensation regulations. The candidate will partner with internal teams, process reimbursements, and provide guidance on documentation, gifts & entertainment, and policy updates.

Qualifications

• Excellent analytical, organizational, and problem-solving skills.
• Strong written and verbal communication abilities.
• Ability to manage multiple priorities in a fast-paced environment.

Responsabilités

• Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures.
• Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems.
• Interact with internal and external partners as needed to provide consultative support and research and resolve issues.
• Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements.
• Provide support to large institutional clients by guiding sponsor reimbursement and gifts & entertainment requests through established requirements, coordinating with key stakeholders, and resolving complex or escalated matters efficiently.
• Drive updates to policies and procedures to enhance Sponsor Compliance efforts.
• Creates and manages advisor support materials, including user guides, Resource Center updates, training resources, procedural documentation, advisor one-pagers, and required forms.
• Provides training sessions and educational presentations for advisor offices, supervision teams, and internal business partners through virtual platforms as needed.
• Track work internally for individual and team operational performance metrics.
• Provide reporting on an as needed basis for trend analysis and oversight.

Connaissances

Analytical skills

Organizational skills

Problem-solving

Verbal communication

Written communication

Team collaboration

Formation

Bachelor’s Degree in Finance, Business Administration or related

Outils

Excel

PowerPoint

SharePoint

Description du poste

Where Ambition Meets Innovation: Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview

The Sponsor Compliance team is looking for a driven, self-motivated individual who is solution-oriented and passionate about delivering results to join the team. The Sr. Analyst will report to the AVP, Sponsor Compliance and will be primarily responsible for reviewing, evaluating and approving sponsor reimbursement submissions from OSJs and financial advisors in connection with expenses incurred through hosting internal training/educational and certain external client events. The Sr. Analyst will be a key member of the team whose mission is to ensure both LPL employees and financial advisors comply with regulatory requirements, including FINRA Non-Cash Compensation regulations.

Roles & Responsibilities

Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures. Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems. Interact with internal and external partners as needed to provide consultative support and research and resolve issues. Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements. Provide support to large institutional clients by guiding sponsor reimbursement and gifts & entertainment requests through established requirements, coordinating with key stakeholders, and resolving complex or escalated matters efficiently. Drive updates to policies and procedures to enhance Sponsor Compliance efforts. Creates and manages advisor support materials, including user guides, Resource Center updates, training resources, procedural documentation, advisor one-pagers, and required forms. Provides training sessions and educational presentations for advisor offices, supervision teams, and internal business partners through virtual platforms as needed. Track work internally for individual and team operational performance metrics. Provide reporting on an as needed basis for trend analysis and oversight.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements

Bachelor’s Degree in Finance, Business Administration or related. Minimum 3+ years working within compliance programs in the financial services industry. Intermediate experience with Excel and Powerpoint.

Core Competencies

• Excellent analytical, organizational, and problem-solving skills
• Strong written and verbal communication abilities
• Ability to manage multiple priorities in a fast-paced environment
• Proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and SharePoint
• Collaborative mindset and a passion for continuous improvement

Pay Range

$75,293.00 - $125,454.00 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com. Join the LPL team and help us make a difference by turning life’s aspirations into financial realities.

Information on Interviews

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone]. EAC 5.19.26 LPL Financial is the nation’s largest independent broker-dealer. Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. As reported by Financial Planning magazine, June 1996-2019, based on total revenue. Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility