Senior Analyst, Compliance Testing

Job Overview:

The Compliance Testing Sr. Analyst is a key member of the Compliance Testing Team and is responsible for assessing compliance risk and evaluating the design and/or operating effectiveness of the firm’s compliance control framework. The Role is responsible for leading execution of compliance testing engagements and supporting the development of the compliance testing team’s methodology and function.

Responsibilities:

• Lead engagements to conduct a risk-based evaluation of the design and effectiveness of processes and controls to mitigate risks from non-compliance with rules, laws and regulations

• Support the development of the testing methodology to assess control frameworks against compliance risks and regulatory obligations

• Demonstrate intellectual curiosity and utilize critical thinking and deductive logic to identify control gaps or areas of weakness to mitigate risk across the firm

• Maintain and enhance skills through ongoing education, including internal and external training activities, to support the team’s and companies needs

• Perform other duties and complete ad hoc projects timely and professionally as assigned by Compliance Testing Leadership

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:

• Extensive knowledge of broker-dealer and/or investment advisor regulatory obligations

• Substantial experience conducting risk assessments and / or testing for a financial services company

• Ability to work independently to drive testing engagements forward with minimal oversight

• Strong analytical skills with high attention to detail and accuracy

• Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL

• Strong writing skills, with report writing experience preferred

• Ability to build strong relationships to foster partnerships with team members and other departments across the firm

• BA/BS degree or equivalent industry experience required

#LI-PA

Pay Range:

$73,088-$121,813/year
 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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