Sr Analyst, 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:

We are seeking a highly skilled Senior Compliance Surveillance Analyst to join our dynamic team at LPL Financial, a major independent broker-dealer. This role is ideal for an individual with a strong background in Variable Annuity (VA) Sales Practices and a comprehensive understanding of other brokerage products.

Responsibilities:

• Conduct thorough reviews of exception reports to detect and address potential sales practice and supervisory concerns, with a focus on Variable Annuities.

• Perform comprehensive risk reviews and sales practice investigations, particularly related to VA products, to identify concerning trends or patterns.

• Evaluate the historical trading activity of advisors flagged for elevated VA product risk indicators.

• Review advisor VA activity to determine the appropriateness of transactions, rationale provided, and any concerning patterns or disciplinary actions.

• Escalate identified concerns to management for further assessment of the broader control and risk environment.

• Collaborate with OSJ Supervisors for clarification or additional information on flagged activities. Proactively identify potential issues and lead initiatives to improve and streamline surveillance procedures.

• Maintain awareness of industry news, regulatory changes, and firm policies.

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 and 3-5+ years of relevant experience in compliance surveillance, with a focus on VA Sales Practices.

• In-depth knowledge of SEC, FINRA, and other SRO rules; advanced understanding of the legal and regulatory landscape.

• Strong analytical skills with experience in performing complex research, reviews, and investigations.

• Excellent written, verbal, and presentation skills.

• Proficiency in Microsoft applications, particularly Excel, Access, and SharePoint.

Core Competencies:

• Demonstrate engagement by asking the right questions and collaborating with colleagues.

• Exhibit critical thinking and the ability to understand complex tasks while considering the big picture.

• Navigate company systems and access necessary information efficiently.

• Work independently and meet deadlines in a dynamic environment.

#LI-PA

 

Pay Range:

$75,675-$126,125/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) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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