LPL Financial

Senior Analyst, Financial Planning Compliance

LPL Financial

full-time

Posted on:

Location Type: Hybrid

Location: Fort Mill • Arizona • California • United States

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Salary

💰 $75,280 - $125,467 per year

Job Level

Senior

About the role

  • Assist in developing new policies and drafting desktop procedures and written supervisory procedures
  • Research and respond to financial planning inquiries from other departments and financial advisors
  • Perform compliance and risk-based reviews of financial planning and consulting activities and document outcomes
  • Design and implement new oversight controls, considering impacts on other teams and financial advisors
  • Drive collaboration across stakeholders to lead projects, initiatives, and decisions to successful execution, with manager support
  • Partner across the firm to advance projects and remove roadblocks
  • Gather feedback from financial advisors, stakeholders, and partners, translating insights into actionable recommendations
  • Establish and maintain effective working relationships with all stakeholders

Requirements

  • Bachelor’s Degree with a minimum of 5 years of financial services industry experience
  • Strong knowledge of financial planning and investment advisory services
  • Proficient in Microsoft Office and web-based applications
  • CFP Series 7, 66 (or 63 and 65), 24 (or 9 and 10) or willingness to obtain within 120 days
  • Excellent relationship management skills
  • Extensive knowledge and experience interpreting the Investment Advisors Act
Benefits
  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
financial planninginvestment advisory servicescompliance reviewsrisk-based reviewsoversight controlspolicy developmentdesktop procedureswritten supervisory procedures
Soft Skills
relationship managementcollaborationcommunicationstakeholder engagementproject managementfeedback gatheringactionable recommendations
Certifications
CFPSeries 7Series 66Series 63Series 65Series 24Series 9Series 10