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

In this role you will support the Program Compliance department in a variety of ways including supporting “business as usual” (BAU) operating routines including, researching and resolving department-level issues, conducting root cause analysis through data and investigation, and supporting program/project deliverables for key initiatives.  This role requires close collaboration with key cross functional partners across the firm.  

Responsibilities

• Execute effectively within a framework designed to ensure an industry-leading Compliance program that adheres to all regulatory requirements and firm policy,

• Use data to support root cause analysis

• Support the Compliance Training team through reporting, act as a resource for business partners, our offshore team, and the field

• Compile and maintain effective dashboards to communicate and illustrate key performance indicators for consumption by senior leadership and other stakeholders.

• Maintain subject matter expertise through on-going education and training activities.

• Support the execution of key initiatives as assigned

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements

• Bachelor’s degree in finance, Business Administration or equivalent work experience

• 2+ years of experience in Financial Services compliance

• Self-motivated, high energy and high-capacity mindsets are critical

• Creative, data-driven problem-solving skills

• Analytical and strategic skills; ability to communicate data concisely

• Proficiency in Excel and Powerpoint (and all other MS Office products)

• Must be able to work both autonomously and in highly collaborative ways

• Excellent written and verbal communication skills

• Teamwork orientation and a learn & grow attitude

#LI-PA

                                                                                                  

 

Pay Range:

$63,860.00 - $106,399.00

 

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.

For further information about LPL, please visit www.lpl.com.

Join LPL Financial: Where Your Potential Meets O