Our Staff Compliance Analyst will take a lead role in tactical, risk-based oversight of a number of key supervisory projects associated with certain sales activities, including but not limited to: leading projects, reviewing transactions and communications, mentoring analysts, and providing guidance to senior managers.
Essential Functions :
Other Job Duties :
- Perform tactical, risk-based oversight of transactions to ensure adequate field supervision has occurred
- Mentor assigned analysts with a focus on developing decision making and communication skills.
- Seek to identify potential issues and support staff initiatives to improve and streamline monitoring and secondary oversight procedures.
- Keep up to date with Firm and industry regulations regarding financial institution activities; interpret Firm policies and procedures and incorporate into daily processes.
- Business Analysis - Identify and recommend out of the box alternative solutions to address business challenges and/or opportunities
- This individual will create key project documentation including business requirements, project plans, testing plans, communications, and training documents. Must have the ability to work independently and manage projects with minimal intervention
- Serve as an expert resource on compliance
- Assist in special projects
- Perform other duties as assigned
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
- Bachelor’s degree in business related field or equal experience
- 5+ years Compliance experience
- Series 7, 24, 63 or 66 required
- Series 3, 4, 27, 53 and/or 65 a plus
- Variable life and annuity licenses a plus
- All Microsoft applications, particularly Word, Access and Excel
- Excellent oral and written communication skills
- Demonstrate leadership abilities
- 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
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LPL Financial Services - 17 months ago