Analyst, Trading Compliance

2 months ago

Knoxville, Tennessee, United States LPL Financial Full time

Are you a team player? Are you curious to learn? Are you solution-oriented and passionate about delivering results? Do you like thinking outside the box, learning new skills and problem solving? If so, LPL Financial is the place for you

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

We are currently looking for a highly motivated Compliance professional for an Analyst role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. The position will provide for a unique opportunity to work closing with Trading, Product, and project teams to deliver various high profile initiatives.

LPL Compliance team provides compliance support to LPL holistically to identify and address matters impacting the activities of the firm and partnering broadly to address the needs of our business partners as well as protect the firm and our advisors through prudent and effective control design and implementation. In addition, members of the compliance team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory and business-driven initiatives.

Responsibilities:

  • Facilitate the development, implementation, and maintenance of Policies & Procedures, key & non-key Controls, Written Supervisory Procedures, and Advisor Compliance Manuals unique to LPLE
  • Ensure ongoing regulatory compliance and perform risk and controls secondary oversight activities for the various Trading and Order Handling desks including, Annuities, Alternative Investments, Equities, and Mutual Funds..
  • Collaborate with business partners and Compliance Coverage Officers to develop and test compliance protocols in new and existing trading tools and systems
  • Support projects and initiatives acting as a Subject Matter Expert and liaison with the Compliance Coverage Officers to drive successful implementations
  • Manage regulatory risk issues within LPL related to the departments areas of cover to develop and maintain firm policies and procedures in coordination across business partners

What are we looking for?

We want curious individuals who are 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 ways that encourage creativity and continuous improvement.

Requirements:

  • Previous experience in the financial services industry
  • Familiarity with investment products such as annuities, equities, ETFs, options, mutual Funds, and alternative investments


Preferences:

  • Annuities, mutual fund, or alternative investment product experience
  • Knowledge of the applicable FINRA, SEC and state regulations related to the trading of the above security types
  • Technical knowledge of Broker-Dealer Service Bureau systems (e.g. BETA)
  • FINRA Series 7, 63 (or 65/66)
  • Bachelor's Degree
  • Strong technical skills across various business applications including Excel, SmartSheets, Powerpoint and others

Pay Range:

$29.86-$49.76/hourActual 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 offerWhy LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it's like to work at LPL? Watch this

We take social responsibility seriously. Learn more here

Want to see info on our benefits? 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 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

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