Analyst, Compliance

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

Job Overview:

The Advisor Communications & OBA Supervisory Principal will review and approve marketing materials and other public communications as well as review Outside Business Activity and Private Securities Transaction requests from Financial Advisors and home office employees. The principal will serve as a Subject Matter Expert (SME) to help educate team members and home office employees regarding communications with the public and outside business activities.
 

Responsibilities:

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.

• Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations.

• Review non-electronic correspondence and third-party awards.

• Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions.

• Research and address instances where the firm’s policies are not being followed.

• Assist with research and response to regulatory inquiries including branch exams.

• Contribute to department initiatives that may include policy updates and training.

• Other tasks and projects as assigned.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• 3+ years of prior financial services and advertising/marketing compliance review experience

• Licensing Requirement: Series 7 & Series 24 

• Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.

• Strong knowledge of FINRA, SEC, and State rules and regulations

Core Competencies:

• Ability to work in a fast paced/high volume environment and be flexible with work schedule.

• Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills.

• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.

• Working knowledge of Excel, Word, and PowerPoint.

• Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Preferences:

• Bachelor’s Degree Preferred

• Licensing: 66 (OR 63 AND 65)

• #LI-Hybrid #LI-Onsite #LI-PA

Pay Range:

$60,900.00 - $101,500.00
 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

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 (855) 575-6947.

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