Compliance Analyst
LPL Financial Services 26 reviews - San Diego, CA

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This position is within our OSJ Risk Review group at LPL, and we would like qualified candidates to be conveniently located in the East, Northeast, or Midwest for coverage within those regions.

Our Compliance Analyst, Risk Review will be primarily responsible for performing compliance oversight to ensure the supervision performed by field branch OSJ Managers is meeting firm policy and pertinent industry regulations. The analyst will also be responsible for providing guidance and training to OSJ Managers on firm policies and various supervisory requirements. Finally, the analyst may be asked to assist with special projects and certain ad hoc tasks as needed in support of the overall Business Risk Management organization.

Essential Functions:
  • Oversight risk-ranked transactions in variable annuities, mutual funds, as well as other product types
  • Monitor and follow-up on the completion of various supervisory tasks including trade blotter reviews, and remediation of deficiencies cited in branch audits
  • Provide guidance and training to the Branch Office Managers (OSJs) in meeting the standards and requirements for supervision set forth by regulatory agencies and the Firm
  • Support investigations of questionable supervision and sales activity and work with management and supervisory principals on resolution
  • Seek to identify potential issues and support staff initiatives to improve and streamline oversight procedures, workflow and technology
  • Keep up to date with Firm and industry regulations regarding financial institution activities; able to interpret Firm policies and procedures and incorporate into daily processes.
Other Job Duties:
  • Serve as a resource on task-related issues to Financial Advisors
  • Work on special projects
  • Perform other duties as assigned

  • Bachelor's degree required, advanced degree a plus
  • 3+ years industry experience
  • Series 7 registration and 24 required
  • Series 3, 4, 27, 53 and/or 65 a plus
  • Variable life and annuity registrations a plus
  • Project management, workflow improvement, LEAN, Six Sigma background a plus
  • Proficiency with all Microsoft applications, particularly Word, Access and Excel
  • Technology/database background a plus
  • Excellent oral and written communication skills
  • Ability to meet deadlines in a fast paced environment
  • Ability to function cooperatively and build consensus on compliance related issues among Managers, Employees and Financial Advisors
  • Strong analytical and research skills
  • Knowledge of FINRA, SEC, and State rules and regulations
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE

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26 reviews