Sr Examiner

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

Our Senior Examiners are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Senior Examiner will consult with branch managers, advisors, and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. This is a Hybrid position, which includes required travel and proximity to a regional airport location.

Responsibilities:

• Responsible for independently performing all functions of branch examination, including thorough evaluation of branch activities, to proactively determine whether a branch office is in compliance with regulatory requirements , escalate risk and use sound judgement to know when to "ask the next question" as potential risk areas are found and to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business).

• Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff.

• Responsible for producing quality audit letters and work-papers that thoroughly document the required testing; ability to work and make independent decisions, under pressure on multiple tasks concurrently and meet deadlines. 

• Use all company-provided tools and systems required to perform thorough audit and document findings in detail.

• Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses.

• Collaborate with peers and management to streamline processes and create efficiencies for the department.

• Assist with the training and mentorship of Branch Auditors who are newer to the role.

• Lead large and more complex branch examinations, including those that require multiple Branch Auditors.

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:

• Ability to work in a self-directed environment working remotely from your primary residence.

• Education: Bachelor's degree (B.A./B.S.) and minimum of 7 years of branch audit or compliance experience in the financial services industry.

• Securities Industry Essentials (SIE) required.

• Possibility of some domestic travel (up to 50%) which will require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds).

Core Competencies:

• Able to effectively leverage resources and navigate the organization to obtain information and achieve objectives.

• Proven track record for working independently, meeting job responsibilities, and detail orientation.

• Professional demeanor with excellent communication skills and an ability to represent LPL in a client-facing role and across all levels within and outside the organization. 

• Proficient in Microsoft applications (Word, Excel, Outlook).

• Skilled in building relationships and collaborating with business partners.

• Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels, both verbal and written.

• Ability to proactively identify risk and use sound judgement to know when to "ask the next question" as potential risk areas are found.

• Take initiative and problem solve in a complex environment.

Preferences:

• Series 7 and Series 24 licenses

 

Pay Range:

$73,725-$122,875/year

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experi