Sr Examiner

Posted 3 Days Ago
Be an Early Applicant
Tempe, AZ
74K-123K Annually
Senior level
Fintech
The Role
The Sr. Examiner reviews high-risk exam findings, validates deficiencies, determines if discipline is necessary, and collaborates with teams to streamline processes. Responsibilities also include making presentations, training field examiners, and serving as a resource for exam teams.
Summary Generated by Built In

The Sr. Examiner reviews exams resulting in high risk findings to determine the scope of the issue and validity of the citation. The Sr. Examiner will also consult on discipline (Letter of Caution or Reminder Letter) or further investigation by other business partners as necessary. Documentation of this review is shared with various groups including branch examiners, branch exam managers, senior management, other departments, and potentially by regulators if requested. This is a hybrid work/remote position with a preference in Tempe, Arizona with the requirement for some travel and a proximity to a regional airport location.

Responsibilities:

  • Review audit letters with high risk deficiencies and poor ratings to validate and determine scope of deficiencies identified during branch examination.

  • Use all company-provided tools and systems required to perform thorough audit review and document findings in detail.

  • Make determination if deficiencies require discipline using a pre-set threshold.

  • Make determination if further investigation is needed and present the issue in a clear manner to other business partners.

  • Make presentations to committees when exam findings are up for their review.

  • Collaborate with peers and management to streamline processes and create efficiencies for the department.

  • Deliver constructive feedback to branch examiners and branch exam managers when discrepancies are found during the exam review.

  • Assist with the training by sharing case studies with the field examiners.

  • Be a resource for the exam teams and exam managers they support.

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:

  • Ability to work in a self-directed environment working remotely from your primary residence with reliable internet.

  • Possibility of some domestic travel 2-4 times per year.

  • Professional demeanor to represent LPL in a client-facing role and across all levels within and outside the organization. 

  • Proficient in Microsoft applications (Word, Excel, Outlook).

  • Skilled in building relationships and collaborating with business partners.

  • Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels inside and outside the organization, both verbal and written.

  • Ability to proactively identify risk and use sound judgement to know when to "ask the next question" as high risk areas are reviewed.

  • Take initiative and problem solve in a complex environment keeping client experience high.

  • Able to effectively leverage resources and navigate the organization to obtain information and achieve objectives.

  • Proven track record for working independently, meeting job responsibilities, and detail orientation.

  • Education: Bachelor's degree (B.A./B.S.) and minimum of 7 years of branch audit or compliance experience in the financial services industry.

  • Securities Industry Essentials (SIE), Series 7, and Series 24 preferred.

Preferences:

  • Strong proficiencies in utilizing LPL company resources and systems.


 

Pay Range:

$73,725-$122,875/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.

EAC1.22.25

Top Skills

Excel
Microsoft Outlook
Microsoft Word
The Company
HQ: San Diego, CA
8,926 Employees
On-site Workplace
Year Founded: 1989

What We Do

Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs.

With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way.

Your greatness is our goal.

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL.com

Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.

Similar Jobs

Wells Fargo Logo Wells Fargo

Senior ABL Field Examiner

Fintech • Financial Services
Hybrid
13 Locations
233000 Employees
80K-143K Annually
4 Locations
2470 Employees
85K-110K Annually
5 Locations
2470 Employees
75K-105K Annually
Remote
5 Locations
13104 Employees

Similar Companies Hiring

EDGE Thumbnail
Software • Fintech • Financial Services • Analytics
Chicago, IL
20 Employees
Bectran, Inc Thumbnail
Software • Machine Learning • Information Technology • Fintech • Automation • Artificial Intelligence
Schaumburg, IL
51 Employees
MassMutual India Thumbnail
Insurance • Information Technology • Fintech • Financial Services • Big Data
Hyderabad, Telangana

Sign up now Access later

Create Free Account

Please log in or sign up to report this job.

Create Free Account