Program Compliance Associate Analyst

LPL Financial • Fort Mill, SC

1d

About The Position

The Program Compliance Associate Analyst will support several functions within Program Compliance, including both the Compliance Education & Training and Senior Investor Protection teams. The Senior Investor Protection (SIP) team ensures that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. The Compliance Education & Training team supports all Firm Element training, as well as mandatory Compliance training throughout the year. This analyst will be responsible for assisting with reporting, data gathering, incoming case entry and review, interacting with advisors to gather additional information for both Senior Investor and CET requests, and general team support.

Requirements

• Bachelor’s Degree and/or equivalent experience preferred
• Strong excel skills, experience with Smartsheet helpful
• Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful
• Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
• Critical thinking
• Time Management
• Decision Making
• Case Management
• Written and oral communication
• Presentation and reporting skills

Responsibilities

• Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas
• Respond to advisors with additional state specific information, general information requests
• Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET
• Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed
• Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
• Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level