Compliance Program Lead

LPL Financial•Fort Mill, SC

About The Position

In this role you will support the Program Compliance department in a variety of ways including managing “business as usual” (BAU) operating routines including assisting in strategy formulation, researching and resolving department-level issues, conducting root cause analysis through data and investigation, and owning program/project management responsibilities for key initiatives. This role requires close collaboration with key cross functional partners across the firm.

Requirements

Bachelor’s degree in Finance, Business Administration or equivalent work experience
5+ years of experience in Financial Services compliance
Self-motivated, high energy and high-capacity mindsets are critical
Creative, data-driven problem-solving skills
Analytical and strategic skills; ability to communicate data concisely
Strong proficiency in MS PowerPoint (and all other MS Office products)
Must be able to work both autonomously and in highly collaborative ways
Excellent written and verbal communication skills
Teamwork orientation and a learn & grow attitude

Nice To Haves

FINRA series 7 and 24
Knowledge of Archer and other compliance tools a plus
Strong technical skills across various business applications including Excel, SmartSheets, Powerpoint and others.

Responsibilities

Execute effectively within a framework designed to ensure an industry-leading Compliance program that adheres to all regulatory requirements and firm policy
Use data to support root cause analysis
Develop and implement project management methodologies, processes, and best practices to optimize project delivery while providing direction and guidance to the team and stakeholders to ensure alignment with organizational goals and objectives.
Compile effective dashboards to communicate and illustrate risks, overall utilization, and other key performance indicators for consumption by senior leadership and other stakeholders.
Maintain subject matter expertise through on-going education and training activities.
Plan and own end to end execution of key initiatives as assigned