Analyst, Regulatory

Job Description :

LPL Financial is seeking a Regulatory Analyst for the Firm’s Regulatory team within the Legal department. The Regulatory team is responsible for responding to a broad range of regulatory examinations, inquiries, and enforcement actions from federal and state securities regulators, FINRA, and other SROs. The Analyst position involves, among other things, understanding Firm systems to support the collection and organization of documents and information to assist in the development and submission of regulatory responses on behalf of the Firm. This position involves a focus on compliance issues and the candidate should have a basic understanding of securities rules and compliance policies / procedures.

Responsibilities :

Support the Regulatory Exams & Inquiries and Regulatory Enforcement groups within Legal to collect, analyze, and provide books and records in response to regulatory inquiries, exams, and actions.

Communicate with various departments at the Firm to collect requested information, analyze the information thoroughly, and work with team members to support the Firm’s regulatory responses.

Execute on team procedures with critical thinking, including excellent matter management skills to handle complex issues and the ability to meet strict deadlines for regulatory responses.

Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes. Contribute to the development of team processes and procedures.

Identify and escalate concerns as they arise, and collaborate with team management, business leads, and team members in order to address issues.

What are we looking for?

We want 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 a way that encourages creativity and continuous improvement.

Requirements :

Undergraduate degree in Business, Accounting, Finance or related discipline.

3 years of industry experience, which is defined as significant experience working the brokerage or investment advisory industry and handling compliance issues.

Core Competencies :

Working knowledge of securities industry compliance requirements and of mutual funds, annuities, general securities, and other financial products.

Excellent time management skills and attention to detail.

Ability to work in a fast paced / high volume environment and be a team player.

Strong analytical and organizational skills, including the ability to analyze and draw conclusions from detailed records, and the ability to keep track of multiple deadlines and projects.

Experience working with content management systems and running reports for metrics.

Exceptional oral and written communication skills and the ability to independently draft letters and other documents.

Proficiency in all Microsoft applications, particularly Excel, Word, Access, and PowerPoint. Candidates with advanced Excel skills are preferred.

Preferences :

Series 7, 66 (or 63 and 65), 24 (or 9 and 10), or 53.

LI-PA

Pay Range :

31.15-$51.92 / 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 offer!

Company Overview :

LPL Financial Holdings Inc. (Nasdaq : LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At 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.

Join LPL Financial : Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Salary : $31 - $52