Senior Sponsor Compliance Analyst — Policy & Reimbursement Lead

LPL Financial; Charlotte (NC); On-site; USD 75,000 - 125,000; Full time

Job summary

LPL Financial is seeking a Sr. Analyst in Sponsor Compliance to review, evaluate, and approve sponsor reimbursements for OSJs and financial advisors, ensuring compliance with regulations.

You will collaborate with internal partners and lead documentation efforts across training and event-related expenses. The role requires a finance/administration background, 3+ years in financial services compliance, and strong Excel/PowerPoint skills.

Qualifications

• Bachelor's Degree in Finance, Business Administration or related field.
• Minimum 3+ years working within compliance programs in the financial services industry.
• Intermediate experience with Excel and PowerPoint.
• Strong analytical, organizational, and problem-solving abilities.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Proficiency with Microsoft Office Suite and SharePoint.

Responsibilities

• Review documentation from OSJs, financial advisors and sponsors to ensure expenses meet firm policies.
• Process approved reimbursements through commissions systems.
• Interact with internal and external partners to resolve issues.
• Provide advisor assistance for reimbursement activities and required documentation.
• Support large institutional clients by guiding sponsor reimbursement requests through established requirements.
• Update policies and procedures to enhance Sponsor Compliance efforts.
• Create and manage advisor resources and training materials.
• Provide training sessions for advisor offices and internal teams.
• Track team performance metrics.
• Provide reporting for trend analysis and oversight.

Skills

Analytical

Organizational skills

Problem-solving

Written communication

Verbal communication

Multi-priority management

Microsoft Office

SharePoint

Collaboration

Education

Bachelor's degree in Finance or Business Administration

Tools

Excel

PowerPoint

Word

SharePoint

Job description

LPL Financial is seeking a Sr. Analyst in Sponsor Compliance to review, evaluate, and approve sponsor reimbursements for OSJs and financial advisors, ensuring compliance with regulations.

You will collaborate with internal partners and lead documentation efforts across training and event-related expenses. The role requires a finance/administration background, 3+ years in financial services compliance, and strong Excel/PowerPoint skills.