Senior Analyst, Program Compliance

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:

As part of the Program Compliance team, this role assists in the annual assessment of policies and procedures to ensure compliance with laws, rules, and regulations. The role involves maintaining policies, understanding compliance risks and controls, assisting in performing risk assessments, and supporting business partners in managing compliance risks. It also includes providing advice, guidance, and strategic support for key firm initiatives.

Additional responsibilities include support of the monthly compliance alert for LPL Financial and LPL Enterprise; support of various Program Compliance activities in Archer; and support of the Annual Compliance Questionnaire.

Roles & Responsibilities:

• Review completed annual compliance questionnaires to identify areas of concern or non-compliance, escalating to content owners as necessary
• Assist in tracking and monitoring regulatory change events and external events ensuring proper assessment and implementation of required controls within compliance date
• Support of various compliance activities within Archer and other key initiatives that are a focus for the firm.
• Complete the monthly compilation of the Compliance Alert for LPLF and LPLE, understanding impacts to each to communicate effectively and partnering with compliance coverage officers for relevant topics

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
• Minimum of 5+ years of compliance experience within financial services and/or wealth management
• Experience with Project Management

Core Competencies:

• Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
• Strong analytical skills and attention to detail
• Excellent problem-solving abilities
• Effective communication including excellent executive level written and oral communication skills
• Subject Matter Expertise: Maintain a thorough and up-to-date understanding of all relevant compliance risks, rules, and regulations
• Critical thinking and problem solving, need to be able to recognize and evaluate problems and identify solutions
• High ethical standards: maintain high ethical standards while executing responsibilities of the role

Preferences:

• Experience with Archer

 

Pay Range:

$75,280-$125,467/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) 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 th