Sr. Analyst, Compliance Testing

LPL Financial (Nasdaq : LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.

Today, LPL is a leader* in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide.

We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor.

At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice.

And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Role 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 : BA / BS degree

BA / BS degree

Knowledge of broker-dealer and / or investment advisor regulatory obligations

3+ years experience conducting risk assessments and / or testing for a financial services company

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

Preferences :

FINRA Series 7, 66, and 24 registrations, or similar, and / or applicable audit designations (e.g. CPA, CIA, CFE, CISA) or other related certification

Ability to work independently to drive testing engagements forward with minimal oversight

Strong analytical skills with high attention to detail and accuracy

Ability to build strong relationships to foster partnerships with team members and other departments across the firm

Pay Range :

$72,720-$109,080 / 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!