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 - Trading & Operations Compliance San Diego/en-US/External/job/San-Diego/Senior-Analyst---Trading---Operations-Compliance_R-008852/apply

LPL Financial is seeking a Senior Analyst to support our Trading and Operations Compliance department within our Compliance, Legal and Risk unit.

The ideal candidate will possess the following experience and skillsets:

  • A good understanding of a brokerage/trading operation Desks, Securities (equities, bonds, mutual funds, etc.), and experience in either trading compliance, and/or trading/brokerage surveillance
  • Communication Skills both written and verbal communication skills are important for this candidate as email and telephone communications with Customers / Advisers and often senior LPL leaders are a daily part of the role
  • Regulatory Acumen A basic understanding of securities industry regulations and relevant regulatory authorities, including state securities - or "Blue Sky" - laws
  • Technology/Systems Experience with BETA or similar trading mainframe experience, and Bloomberg, is preferred
  • Comfort level having to make difficult decisions, often under very time-sensitive scenarios, and communicating those decisions to both senior members of Trading Desk and/ or a customer, when that answer may not be received well


  • Series 7 and 24
  • 5+ years of financial services experience
  • Results oriented and outcome based
  • Excellent written and oral communication skills

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 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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 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 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 applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at (800) 877-7210.

Posted 2 Days AgoFull timeR-008852

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.