Program Compliance Analyst

LPL Financial•Fort Mill, SC

1d•$63,860 - $106,399

About The Position

In this role you will support the Program Compliance department in a variety of ways including supporting “business as usual” (BAU) operating routines including, researching and resolving department-level issues, conducting root cause analysis through data and investigation, and supporting program/project deliverables 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
2+ 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
Proficiency in Excel and 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

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
Support the Compliance Training team through reporting
Act as a resource for business partners, our offshore team, and the field
Compile and maintain effective dashboards to communicate and illustrate key performance indicators for consumption by senior leadership and other stakeholders
Maintain subject matter expertise through on-going education and training activities
Support the execution of key initiatives as assigned