Senior ERISA & Retirement Compliance Analyst
LPL Financial LLC
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Job summary
LPL Financial seeks a Senior Retirement Compliance Analyst in Boston to oversee retirement compliance programs and ERISA-related requirements. You will collaborate across the organization to strengthen oversight, prepare for regulatory examinations, and evolve our retirement compliance framework.
Ideal candidates have 3+ years in financial services compliance, with strong analytical and communication skills, and a Bachelor’s degree in a related field.
Qualifications
- Bachelor's degree in a related field.
- 3+ years of financial services compliance experience.
- Experience with retirement plan compliance and ERISA-related requirements.
- FINRA Series 66 license is a plus; Series 24 license is a plus.
Responsibilities
- Execute supervision and oversight activities for ERISA-qualified retirement plans and retirement programs.
- Support regulatory examinations, audits, and compliance reviews.
- Monitor annual compliance questionnaires and attestations.
- Partner with internal teams to understand and enhance processes.
- Develop and maintain desktop procedures and compliance documentation.
- Collaborate with recordkeeper partners and internal stakeholders on retirement initiatives.
- Communicate effectively with advisors and internal business partners.
Skills
Education
Tools
Job description
LPL Financial seeks a Senior Retirement Compliance Analyst in Boston to oversee retirement compliance programs and ERISA-related requirements. You will collaborate across the organization to strengthen oversight, prepare for regulatory examinations, and evolve our retirement compliance framework.
Ideal candidates have 3+ years in financial services compliance, with strong analytical and communication skills, and a Bachelor’s degree in a related field.
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