Compliance Analyst Compliance Analyst …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Compliance Analyst
Senior Analyst, Compliance San Diego/en-US/External/job/San-Diego/Senior-Analyst--Compliance_R-008496/apply

The Senior Analyst, Compliance Risk Assessment & Testing, is responsible

for contributing to the Firms risk mitigation efforts by identifying,

assessing, and appropriately documenting operational and

regulatory risks that are a result of failed internal processes, systems

or controls. The Senior Analyst is a member of a team of subject matter

experts on risk identification, assessment, and testing and will

maintain a high level of knowledge, expertise and practice within this


The Compliance Risk Assessment & Testing (CRA&T) team is part of

LPL's Compliance, Legal, and Risk (CLR) division that supports the organization

in monitoring, measuring and managing the company's

regulatory and operational risk exposures.

Day to day activities of this role include:

Evaluate operational and compliance related control

activities to detect violations of Firm policies and/or

regulatory rules and requirements (e.g., FINRA, MSRB,

NFA and SEC). Specifically, conduct compliance test

work for FINRA Rule 3120 and SEC Rule 206(4)-7.

Develop strategies (scripts) for testing the design, operating

effectiveness, efficiency and appropriateness

of operational and compliance processes and controls.

Present testing and risk assessment results to senior

management and obtain managements plan of action

to remediate findings.

Evaluate the adequacy of managements remediation

of issues discovered through various assurance activities

at the Firm (remediation testing).

Assist management with training and reviewing work

papers of Analyst level team members. Provide helpful

feedback and coaching as necessary.

May assist management with the obtaining responses

and status updates for items reported in the Enterprise

Risk Profile each quarter, and respective compliance

testing reports (e.g., 3120/3130, IAAR and NFA).

Perform other duties and complete ad hoc projects as

assigned by CRA&T management.

Pursue professional development opportunities, including

external and internal training and professional

association memberships.


Bachelor's degree

Minimum of 3+ years of experience in compliance, operations,

enterprise risk management, or a similar risk

management and assurance discipline (e.g., Internal

Audit, Legal department for a financial service firm)

Strong analytical skills with high attention to detail

and accuracy

Proficient in MS Office (Excel, PowerPoint, Access, Visio,


Preferred: FINRA Series 7, 66, and 24 registrations, or


Preferred: Applicable audit designations (e.g. CPA,

CIA, CFE, CISA) or other related certifications

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego. 

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.  

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.   

Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE 

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Posted YesterdayFull timeR-008496

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.