Sr. Analyst, Compliance

Analyst

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

The Senior Analyst, Compliance- Information Lifecycle Management, will primarily be responsible for performing second-line controls intended to provide oversight of the firm's regulatory Books and Records requirements. Additionally, the Senior Analyst will contribute to the Firm's overall risk mitigation efforts by supporting the identification, assessment, documentation, and correction of operational and regulatory risks that are a result of failed internal processes, systems or controls, particularly with regard to leveraged technology.

The right candidate will have an ability to mitigate risk and enforce compliance, a passion for technology, and an innate desire to continuously learn, improve, and evolve. They will have the courage and skillset necessary to solve complex business problems in an efficient and collaborative manner. The candidate also will have the ability to manage multiple stakeholders and complex cross-functional projects working in a fast-paced and deadline-driven environment.

Additionally, they will strive to be a Subject Matter Expert in risk identification, assessment, mitigation and will maintain a high level of knowledge, expertise and practice within this capacity.

Responsibilities

• Manage end-to-end M&A project execution including coordinating cross-functional teams; facilitate communication among internal stakeholders, senior leadership and vendors while ensuring compliance with regulatory requirements throughout the project.
• Develop, maintain and track detailed project plans, timelines and deliverables; identify risks and implement mitigation plans to maintain timelines; prepare status reports and presentations
• Support all technology related aspects of an effective and compliant Books and Records management program, including ongoing oversight of record ingestion into the Firm's electronic storage media, gap remediation, when necessary, the establishment and testing of new ingestion processes, and other tasks related to the firm's official electronic repositories;
• Assess risk to the firm's recordkeeping obligation resulting from new and changes to business processes, policies, regulations, LPL offered products, vendors, technology infrastructure and enhancements to systems and applications;
• Analyze new record types, or changes to existing record types, to provide input on archival requirements, including identification of all regulatory requirements/rules, assigning appropriate retention, specifying required metadata, confirming retrievability, and ensuring the firm's Records Inventory is updated accordingly;
• Clearly communicate the risks associated with the performance of controls to leadership, technology, business owners and other stakeholders;
• Effectively build and execute processes and controls designed to manage an effective Books and Records compliance program and continue to assess and strengthen these processes;
• Work closely with subject matter experts and senior leaders across the entire organization through the annual process of refreshing the Firm's records inventory;
• Support corporate initiatives that impact the Firm's management of data and records
• Provide needed support to financial advisors on matters relating to the branch offices' adherence to books and records regulations and policies;
• Support the record destruction process (both physical and electronic);
• Enhance the knowledge and awareness of LPL employees and advisors regarding all aspects of records management

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 in Business, Technology/MIS, Finance, or a related field
• 3-5 years' experience in the financial services industry
• Candidate must have excellent verbal and written communication skills and be entirely comfortable presenting facts, ideas and opinions to executives or large groups of people
• Knowledge in Microsoft Excel including basic formulas, pivot tables, functions, etc.

Preferred

• Working knowledge of SEC (17a-3 and 17a-4), FINRA, NFA, CFTC, and MSRB rules, especially Books and Records requirements
• Working knowledge and understanding of the functions of electronic records management systems, including their capabilities, risk management intent and issues such as metadata, security, privacy, and access
• Experience in M&A and project management
• Series 7 or Series 99 a plus
• Worked in the financial services Industry in a compliance, legal, technology or risk capacity; OR worked in a Big-4 Accounting/Consulting firm
• Knowledge of SQL, Tableau, SharePoint, Smartsheet, JIRA/Confluence, Alteryx a plus

Pay Range: $75,293.00 - $125,454.00Actual 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!

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, 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

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 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 View phone number on click.appcast.io.