Sr. Analyst, Retirement Compliance

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

Job summary

LPL Financial Holdings Inc. in Charlotte, NC seeks a Senior Retirement Compliance Analyst to oversee retirement compliance programs, support advisors in ERISA space, and help prepare for regulatory examinations.

You will collaborate across the organization, develop procedures, monitor annual questionnaires, and partner with internal teams to strengthen oversight and drive continuous improvement. The role requires a bachelor's degree and 3+ years in financial services compliance, with familiarity

Qualifications

• Bachelor's degree in related field required.
• 3+ years of financial services compliance experience required.
• Experience with retirement plan compliance and ERISA-related requirements preferred.

Responsibilities

• Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement 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

Retirement compliance

ERISA knowledge

Regulatory examinations

Analytical skills

Communication skills

MS Office

SharePoint

Education

Bachelor's degree

Tools

Microsoft Office Suite

Job description

Job Overview

As a Senior Retirement Compliance Analyst, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.

Roles & 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

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 a related field
• 3+ years of financial services compliance experience
• Experience with retirement plan compliance and ERISA-related requirements

Core Competencies

• Strong understanding of advisory compliance regulations and fiduciary concepts
• 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

Preferred Qualifications

• FINRA Series 66 license, Series 24 license a plus

Pay Range

$75,293.00 - $125,454.00

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? We Are LPL Benefits Culture Social Responsibility