Senior Sponsor Compliance Analyst - Drive Reimbursements & Policy

LPL Financial LLC; Fort Mill, Charlotte (SC, NC); Vor Ort; USD 75.000 - 125.000; Vollzeit

Benefits dieser Stelle

401K matching

Health benefits

Employee stock options

Paid time off

Zusammenfassung

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.

Qualifikationen

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

Aufgaben

• 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.

Kenntnisse

Analytical skills

Organizational skills

Problem-solving

Verbal communication

Written communication

Team collaboration

Ausbildung

Bachelor’s Degree in Finance, Business Administration or related

Tools

Excel

PowerPoint

SharePoint

Jobbeschreibung

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.