Examiner

LPL Financial•Tempe, AZ

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. What are we looking for? The ideal candidate will have a client-first customer service oriented mind-set from a financial background, with strong attention to detail, problem-solving skills , and excellent verbal and written abilities . Candidate will be able to contribute positively to a team-focused environment , driving both growth and innovation . At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. 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 @lplfinancial.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 (855) 575-6947. EAC12.9.25

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