Senior Analyst, Financial Planning Compliance

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:

The position requires an energetic candidate with a financial services background who can think independently, thrive in a fast-paced team environment, creatively problem-solve, connect various thoughts, observations and results to help develop innovative solutions.

Responsibilities:

• Assist in developing new policies and drafting desktop procedures and written supervisory procedures
• Research and respond to financial planning inquiries from other departments and financial advisors
• Perform compliance and risk-based reviews of financial planning and consulting activities and document outcomes
• Design and implement new oversight controls, considering impacts on other teams and financial advisors
• Drive collaboration across stakeholders to lead projects, initiatives, and decisions to successful execution, with manager support
• Partner across the firm to advance projects and remove roadblocks
• Gather feedback from financial advisors, stakeholders, and partners, translating insights into actionable recommendations
• Establish and maintain effective working relationships with all stakeholders

What are we looking for?

We’re looking for strong collaborators who 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 with a minimum of 5 years of financial services industry experience
• Strong knowledge of financial planning and investment advisory services

Core Competencies:

• Detail oriented and ability to evaluate and mitigate risk
• Strong industry acumen, self-starter and the ability to work with minimal supervision and quickly adapt to a fast-paced environment
• Ability to work and communicate effectively with other departments throughout the organization
• Excellent written and oral communication skills
• Proficient in Microsoft Office and web-based applications

Preferences:

• CFP
• Series 7, 66 (or 63 and 65), 24 (or 9 and 10) or willingness to obtain within 120 days
• Excellent relationship management skills
• Extensive knowledge and experience interpreting the Investment Advisors Act

 

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 the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

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