Sr Analyst, Compliance in Fort Mill, SC

$80K - $100K(Ladders Estimates)

LPL Financial   •  

Fort Mill, SC 29715

Industry: Finance & Insurance

  •  

5 - 7 years

Posted 52 days ago

We are currently looking to hire a Senior Compliance Analyst within the Surveillance Department, which is a part of LPL's Governance, Risk & Compliance (GRC) organization.


The Senior Compliance Analyst, Surveillance will be responsible for the monitoring and oversight of financial advisor sales activities and related supervision of those activities.


Essential Functions:

• Reviewing exception reports to detect and address potential sales practice and related supervisory concerns, including active trading, switching, account concentrations, account losses, advisor credit monitoring, and other concerning patterns displayed in end-client account activity in a variety of products

• Performing comprehensive risk reviews and sales practice investigations of a complex and highly sensitive nature:

  • •Synthesize and assess the "risk profiles" (business mix, sales practices, credit, disciplinary history, customer complaints, supervisory record, etc.) of advisors and OSJs;
  • •Investigate specific instances of questionable sales activity or deficient supervision
  • • Recommend an appropriate level of oversight or corrective action to management and the firm's respective risk management committees

Other Job Duties:

• Performing other duties as assigned, including occasional special projects, account-related research, creation of management reporting, etc.

• Maintain awareness of industry news, and changes in the business or regulatory landscape, firm policies, and departmental processes

Qualifications: ​

• Bachelor's degree in a related field

• 5+ years of relevant experience in compliance required

• Knowledge of SEC, FINRA and other SRO rules; understanding and awareness of legal and regulatory landscape are all required

• Securities licenses strongly preferred (Series 7, Series 24)

• Experience in performing complex research, reviews and investigations

Other Skills:

• Ability to meet deadlines in a fast paced environment

• Meticulous attention to detail

• Highly analytical with excellent research skills

• Strong writing skills, verbal communication and presentation skills, and ability to interface with senior management

• Proficiency in all Microsoft applications, most notably in Excel, Access and SharePoint

Valid Through: 2019-10-23