• Job Description

  Req#: R-033973

  Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

  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 18,000 financial advisors, 800 institution-based investment programs and 450 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.

  Job Overview:

  The Electronic Communications Compliance (eComm) team within the Risk and Compliance organization is seeking an Analyst/Senior Analyst to help us ensure the technology we use is in compliance with all of the regulatory guidelines related to CARS (Capture, Archive, Retrieve, and Supervise). In this role, you will be working with key stakeholders to help our Advisors protect their business from legal and compliance risk.

  Responsibilities:

  • Manage and support firm wide risk and compliance activities for digital tools that contain electronic communication. Electronic communication may include, but is not limited to email, text messaging, chat/instant messaging, social media, marketing automation, appointment scheduling, and web-portals. Proactively identify any CARS requirements and improvement opportunities for such tools.
  • Help oversee control performance, ensure that key eComm controls are performed within appropriate guidelines given the risk profile.
  • Perform eComm controls and participate in project engagements as a subject matter expert, as needed.

  What are we looking for?

  The ideal candidate will have a client-first oriented mind-set from a financial background, with strong attention to detail, astute problem-solving skills , and highly effective verbal and written abilities . Candidate will be able to lead across, contribute positively to a team-focused environment , and drive both growth and innovation .

  Requirements:

  • 1-3+ years of Broker Dealer compliance and/or supervision experience required
  • Working knowledge and understanding of the functions of electronic communications, particularly email, email journaling, instant messaging, text messaging, and collaboration tools.
  • Immediate technical aptitude with the ability to think critically in order to troubleshoot identified issues.
  • Must be highly adaptable and be comfortable with performing a wide variety of tasks.
  • Ability to manage sensitive data
  • Advanced Microsoft (Word, Excel, Access and PowerPoint) user, Visio, Adobe Acrobat, SharePoint and Outlook

  Core Competencies:

  • Excellent verbal and written communication skills
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
  • Strong attention to detail with a proactive approach to solving and preventing problems
  • Ability to remain accountable while working under pressure/deadlines and manage multiple priorities
  • Ability to interface effectively with all levels of management

  Preferences:

  • 5+ years of experience working in a client facing or technology focused role.
  • 3+ years of experience leading/influencing as an individual contributor or manager.
  • Professional licenses and certifications focused in a compliance and technical area (for example FINRA Series 7/24 licenses, PMP, CBAP, CSM, CISA, Lean Six Sigma)
  • Strong understanding of industry best practices on electronic communications
  • A combination of some or all of the following: successful technology and/or project leadership experience

  
  

  Pay Range:

  $72,720-$109,080/year

  
  

  Actual 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!

  
  

  Why LPL?

  At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

  We are one team on one mission. We take care of our advisors, so they can take care of their clients.

  Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

  Want to hear from our employees on what it’s like to work at LPL? Watch this!

  We take social responsibility seriously. Learn more here

  Want to see info on our benefits? Learn more here

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

  Information on Interviews:

  LPL will only communicate with a job applicant directly from an @lp lfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

• About the company

  LPL Financial Holdings Inc was founded in 1968 and is considered the largest independent broker-dealer in the United States.

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