Sr. Analyst, Retirement Compliance

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:As a Senior Retirement Compliance Analyst, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.Roles & Responsibilities: Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting ProgramReview and approve advisor participation in retirement-focused programsSupport regulatory examinations, audits, and compliance reviewsMonitor annual compliance questionnaires, attestations, and advisor follow-up requirementsPartner with internal business teams to understand and enhance processesDevelop and maintain desktop procedures and compliance documentationCollaborate with recordkeeper partners and internal stakeholders to support retirement initiativesCommunicate effectively with advisors and internal business partnersWhat 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 a related field3+ years of financial services compliance experienceExperience with retirement plan compliance and ERISA-related requirementsCore Competencies:Strong understanding of advisory compliance regulations and fiduciary conceptsExcellent analytical, organizational, and problem-solving skillsStrong written and verbal communication abilitiesAbility to manage multiple priorities in a fast-paced environmentProficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and SharePointCollaborative mindset and a passion for continuous improvementPreferred QualificationsFINRA Series 66 license, Series 24 license a plusPay 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!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 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 .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.EAC 5.19.26SummaryLocation: Fort Mill/Charlotte; San Diego; BostonType: Full time