Regulatory Compliance Analyst
1 week ago
Job Overview:
The Electronic Communications Compliance (eComm) division within the Compliance, Legal, and Risk (CLR) organization is in search of an Analyst to assist in ensuring that our technological solutions adhere to all regulatory standards related to CARS (Capture, Archive, Retrieve, and Supervise). In this capacity, you will engage directly with key stakeholders to aid our Advisors in safeguarding their operations against legal and compliance risks.
Key Responsibilities:
- Facilitate the organization-wide implementation of eComm tools that encompass electronic communications. These tools include, but are not limited to, email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web portals.
- Proactively recognize any CARS requirements and opportunities for enhancement concerning these tools.
- Support the strategic execution of mergers and acquisitions by promoting awareness of LPL's compliant digital capabilities throughout the process. Ensure that all eComm communications are accounted for and positioned for compliance from day one.
- Collaborate with stakeholders to guarantee effective oversight of digital tools that generate electronic communications. This includes identifying and addressing situations that may lead to non-compliance.
- Conduct eComm controls and engage in project initiatives as a subject matter expert, as necessary.
What We Are Seeking:
We are looking for strong collaborators who can deliver an exceptional client experience. Ideal candidates thrive in a dynamic environment, are client-focused, team-oriented, and can execute in a manner that fosters creativity and continuous improvement.
Requirements:
- A minimum of 3-5 years of experience in a client-facing or technology-oriented role.
- A keen intellectual curiosity regarding risk, compliance, and technology.
- Previous experience in a Broker Dealer setting or in a risk management/compliance capacity is preferred.
Core Competencies:
- Strong technical aptitude with the capability to think critically to manage identified issues and provide effective solutions.
- A team player with excellent communication skills and emotional intelligence.
- Ability to handle sensitive data responsibly.
- Highly adaptable and comfortable performing a diverse range of tasks.
Compensation Range:
$28.94-$48.23/hour. Actual base salary varies based on factors including, but not limited to, relevant skills, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL's Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – including 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.
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