A Staff Analyst in Advisory Compliance will take on a lead role in the department and the overall GRC organization. This role requires extensive and substantial experience and background in advisory compliance functions and issues, including the Advisers Act and supporting FINRA regulations. This person is responsible for leading, maintaining coordinating and supervising strategic advisory functions for the Advisory Compliance department. This position will include responsibility for leading special projects as those defined by senior management and will include contact with senior management in the analysis and prioritization of projects and functions.
More specifically , this position will include:
Code of Ethics- ensuring rule requirements are met across LPL and affiliates.
Oversight of financial planning & hourly c
Leadership of retirement partners initiatives, including developing and maintaining supervision of our products in this space
Oversight of our centrally managed platforms
Oversight of our co-advisory relationships held at external custodians
Serve as conduit for supervision of our responsibilities as it relates to the Custody Rule
Special projects as needed
Other Job Duties
1. Interact appropriately and confidently with senior management
2. Prioritize tasks and work with minimum of supervision
3. Anticipate the needs of LPL Financial and the GRC organization in order to be able to define next steps with projects and functions
4. Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, etc.
5. Understand and have significant knowledge of all financial rules and regulations.
6. Independently drive/execute projects on their own
7. Identify and report significant compliance exposures to senior management, while providing corrective actions for consideration and implementation
Bachelor's Degree or equivalent industry experience
5 to 6 years experience in compliance and/or regulatory matters
Strong in Excel, Word and other MicroSoft products
Ability to work with a minimum of supervision
Excellent communication skills
Ability to interact with Advisers and business partners
Must work well under competing deadlines and possess strong organizational skills
Maintain the ability to organize and prioritize challenging functions
FINRA Series 7, 24 and 66
LPL Financial Services - 9 months ago