Senior Retirement Compliance Analyst - ERISA Oversight & Compliance

LPL Financial; Boston (MA); On-site; USD 75,000 - 125,000; 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 Senior Retirement Compliance Analyst in Boston, MA. This role oversees retirement compliance programs, supporting advisors in ERISA spaces and preparing for regulatory examinations.

You will partner across the organization to strengthen oversight and evolve the retirement compliance framework. The ideal candidate will have 3+ years in financial services compliance, retirement plan experience, and strong communication skills to engage with internal teams and advisors.

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

Skills

Analytical thinking

Communication skills

Regulatory understanding

Multi-tasking

Education

Bachelor's degree in a related field

Tools

Microsoft Office

SharePoint

Job description

LPL Financial is seeking a Senior Retirement Compliance Analyst in Boston, MA. This role oversees retirement compliance programs, supporting advisors in ERISA spaces and preparing for regulatory examinations.

You will partner across the organization to strengthen oversight and evolve the retirement compliance framework. The ideal candidate will have 3+ years in financial services compliance, retirement plan experience, and strong communication skills to engage with internal teams and advisors.