What are the responsibilities and job description for the Associate Analyst, RIA Compliance position at LPL Financial?
Job Overview :
This is an Associate Compliance Analyst position and is part of the RIA compliance team within the Investment Advisory Compliance Department. The Associate Analyst will be responsible for supporting the team’s Compliance Analysts involved in the oversight functions of Representatives providing investment advisory services to clients through an independent RIA under LPL’s Hybrid RIA platform.
Responsibilities :
Supporting the team’s Compliance Analysts and Sr. Analysts with daily operations, including workflow maintenance, reconciling data, and managing the team’s email box
Collaborating with internal business partners and offshore resources to address inquires and assist with issue resolution
Producing various other data capturing tasks and procedures for the RIA compliance team
Perform quality assurance of tasks by the offshore team to ensure accuracy
Additional tasks may be assigned to match changing business needs
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 :
Excellent analytical and communication skills
Personable, reliable self-starter with strong organizational skills requiring minimal oversight for day-to-day responsibilities
Strong working knowledge and experience leveraging Microsoft Excel and PowerPoint
Preferences :
Compliance experience within a financial services firm
Professional registrations, including FINRA Securities licenses and an IAR registration
Basic understanding of FINRA Rules and the Investment Advisors Act of 1940
Pay Range :
23.33-$38.88 / 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 : $23 - $39
