Senior Analyst, Program Compliance

LPL Financial•Fort Mill, SC

About The Position

As part of the Program Compliance team, this role assists in the annual assessment of policies and procedures to ensure compliance with laws, rules, and regulations. The role involves maintaining policies, understanding compliance risks and controls, assisting in performing risk assessments, and supporting business partners in managing compliance risks. It also includes providing advice, guidance, and strategic support for key firm initiatives. Additional responsibilities include support of the monthly compliance alert for LPL Financial and LPL Enterprise; support of various Program Compliance activities in Archer; and support of the Annual Compliance Questionnaire.

Requirements

Bachelor's Degree
Minimum of 5+ years of compliance experience within financial services and/or wealth management
Experience with Project Management
Strong time management, organizational and project management skills, including the ability to handle multiple projects and manage deadlines in a fast-paced and demanding work environment
Strong analytical skills and attention to detail
Excellent problem-solving abilities
Effective communication including excellent executive level written and oral communication skills
Maintain a thorough and up-to-date understanding of all relevant compliance risks, rules, and regulations
Critical thinking and problem solving, need to be able to recognize and evaluate problems and identify solutions
High ethical standards: maintain high ethical standards while executing responsibilities of the role

Nice To Haves

Experience with Archer

Responsibilities

Review completed annual compliance questionnaires to identify areas of concern or non-compliance, escalating to content owners as necessary
Assist in tracking and monitoring regulatory change events and external events ensuring proper assessment and implementation of required controls within compliance date
Support of various compliance activities within Archer and other key initiatives that are a focus for the firm.
Complete the monthly compilation of the Compliance Alert for LPLF and LPLE, understanding impacts to each to communicate effectively and partnering with compliance coverage officers for relevant topics