Compliance Analyst
LPL Financial
Fort Mill/Charlotte; TempePosted Discovered via the company's careers siteMatch locked
Full time3+ years exp
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview
LPL's Investment Advisory Compliance team is seeking a Compliance Analyst who thrives in a collaborative environment and is committed to delivering exceptional results.
The Compliance Analyst will play a key role in ensuring prospective and existing advisors comply with ADV Part 2B requirements and other applicable SEC and FINRA regulations governing advisory business activities.
Responsibilities
The responsibilities of the Advisory Compliance Analyst include, but are not limited to:
- Review, approve and process ADV 2Bs for new advisors
- Review updates as needed for existing advisors.
- Deliver excelled customer-focused service to our Advisors.
- Collaborate with team and other departments to fulfill ADV 2B requests and/or other Advisory Compliance-related tasks.
- Perform other duties as assigned, including special projects, regulatory research and reporting.
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
- 3+ years of financial services industry experience
- FINRA licenses (such as Series 7, Series 66 and Series 24), other industry certifications or designations preferred
- Proficiency with Microsoft Office, especially Outlook, Teams, Excel and Word
- Written and oral communication skills
- High level of analytical and problem-solving skills
- Customer service experience is a plus as we aim to provide exceptional service to our Advisors and collaborators
#LI-PA
Pay Range:
$63,860.00 - $106,399.00
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) 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. 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.
EAC 5.19.26
Not included in the source posting: benefits.
Skills
excel
Who can apply
The employer didn't state any visa, work authorization, citizenship or clearance requirements in this posting. Confirm with the employer before applying.
Read automatically from the employer's posting text. Always confirm with the employer — requirements can change after a job is published.