Sr. Analyst, Compliance

Where Ambition Meets Innovation 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 the 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, and will be able to manage multiple stakeholders and complex cross‑functional projects in a fast‑paced, 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 record‑keeping 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. Requirements Bachelor’s degree in Business, Technology/MIS, Finance, or a related field. 3–5 years’ experience in the financial services industry. 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 – $125,454.00. 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. The LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more. 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