Examiner

LPL Financial • Tempe, AZ

1d • $65,508 - $109,180

About The Position

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: Our Examiners are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Examiner will consult with branch managers, advisors, and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. This is a Tempe, Arizona based position with the requirement for travel and a proximity to a regional airport location.

Requirements

• Possibility of some domestic travel (up to 20%) which will require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds)
• Professional demeanor to represent LPL in a client-facing role and across all levels within and outside the organization
• Proficient in Microsoft applications (Word, Excel, Outlook)
• Skilled in building relationships and collaborating with business partners
• Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels, both verbal and written
• Ability to proactively identify risk and use sound judgement to know when to "ask the next question" as potential risk areas are found
• Take initiative and problem solve in a complex environment
• Able to effectively leverage resources and navigate the organization to obtain information and achieve objectives
• Proven track record for working independently, meeting job responsibilities, and detail orientation.
• Bachelor's degree (B.A./B.S.) or minimum of three years of experience in the financial services industry

Nice To Haves

• FINRA securities registrations (including SIE, Series 7, and Series 24 licenses) preferred
• Prior compliance or supervisory experience preferred

Responsibilities

• Responsible for independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business)
• Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff
• Prepare audit letter based on deficiencies identified during branch examination and provide instructions, both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all regulations
• Use all company-provided tools and systems required to perform thorough audit and document findings in detail
• Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses
• Collaborate with peers and management to streamline processes and create efficiencies for the department

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees