What are the responsibilities and job description for the Senior Analyst, Compliance Testing position at LPL Financial?
Job Overview :
The Compliance Testing Sr. Analyst is a key member of the Compliance Testing Team and is responsible for assessing compliance risk and evaluating the design and / or operating effectiveness of the firm’s compliance control framework. The Role is responsible for leading execution of compliance testing engagements and supporting the development of the compliance testing team’s methodology and function.
Responsibilities :
Lead engagements to conduct a risk-based evaluation of the design and effectiveness of processes and controls to mitigate risks from non-compliance with rules, laws and regulations
Support the development of the testing methodology to assess control frameworks against compliance risks and regulatory obligations
Demonstrate intellectual curiosity and utilize critical thinking and deductive logic to identify control gaps or areas of weakness to mitigate risk across the firm
Maintain and enhance skills through ongoing education, including internal and external training activities, to support the team’s and companies needs
Perform other duties and complete ad hoc projects timely and professionally as assigned by Compliance Testing Leadership
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 :
Extensive knowledge of broker-dealer and / or investment advisor regulatory obligations
Substantial experience conducting risk assessments and / or testing for a financial services company
Ability to work independently to drive testing engagements forward with minimal oversight
Strong analytical skills with high attention to detail and accuracy
Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL
Strong writing skills, with report writing experience preferred
Ability to build strong relationships to foster partnerships with team members and other departments across the firm
BA / BS degree or equivalent industry experience required
LI-PA
Pay Range :
73,088-$121,813 / yearActual 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 : $73,088 - $121,813
