Compliance Expert for Retirement Programs
7 days ago
LPL Financial Holdings, Inc. is a leading independent broker-dealer that offers an integrated platform of proprietary technology, brokerage, and investment advisor services.
About the Role:
The Senior Compliance Analyst will provide supervision and oversight for the ERISA Retirement Plan space within Product and Platform Compliance, ensuring compliance with regulatory requirements and maintaining high-quality client experiences.
Job Responsibilities:
- Supervise and oversee various retirement-focused programs at the plan and individual levels.
- Assist in preparing for regulatory exams and follow up with advisors on their responses to annual compliance questionnaires.
- Work collaboratively with multiple departments to understand processes and improve efficiency.
Key Requirements:
- 3+ years of financial services compliance experience.
- Familiarity with compliance as it relates to retirement plans.
- Strong understanding of advisory compliance regulations.
Preliminary Salary Range: $73,100 - $121,800 per year.
Benefits and Perks:
LPL Financial Holdings, Inc. offers a comprehensive benefits package, including 401(k) matching, health insurance, paid time off, and volunteer opportunities.
Career Growth Opportunities:
We believe in fostering a work environment that encourages creativity, growth, and continuous improvement. Our team-oriented approach ensures that every employee has the support and resources needed to succeed.
Why LPL Financial Holdings, Inc.?
We prioritize social responsibility and community involvement, creating a work environment where employees can make a real impact.
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