Senior Analyst, Sponsor Compliance

LPL Financial•Fort Mill, SC

4d•$75,293 - $125,454

About The Position

The Senior Analyst, Sponsor Compliance will join LPL Financial’s Sponsor Compliance team and report to the AVP, Sponsor Compliance. The role reviews, evaluates, and approves sponsor reimbursement submissions from OSJs and financial advisors for expenses related to internal training and educational events and certain external client events. The Senior Analyst helps ensure that LPL employees and financial advisors comply with firm requirements and applicable regulations, including FINRA Non-Cash Compensation regulations. The position works with OSJs, financial advisors, product sponsors, LPL Commissions, and other partners to process approved reimbursements, provide advisor assistance, resolve issues, and support institutional clients with sponsor reimbursement and gifts-and-entertainment requests. It also contributes to policy and procedure improvements, develops advisor support and training materials, delivers education sessions, and tracks operational metrics and trends.

Requirements

Bachelor’s degree in Finance, Business Administration, or a related field.
At least 3 years of experience working within compliance programs in the financial services industry.
Intermediate experience with Excel and PowerPoint.
Excellent analytical, organizational, and problem-solving skills.
Strong written and verbal communication abilities.
Ability to manage multiple priorities in a fast-paced environment.
Proficiency with Microsoft Office Suite, including Excel, PowerPoint, and Word, and SharePoint.
Collaborative mindset and a passion for continuous improvement.

Responsibilities

Review documentation submitted by OSJs, financial advisors, and product sponsors to verify that proposed sponsor reimbursement expenses comply with firm policies and procedures.
Partner with OSJs, financial advisors, product sponsors, and LPL Commissions to process approved reimbursements through the commissions systems.
Provide consultative support, research issues, and work with internal and external partners to resolve them.
Provide advisor assistance regarding reimbursement activities and documentation requirements.
Support large institutional clients by guiding sponsor reimbursement and gifts-and-entertainment requests through established requirements, coordinating with stakeholders, and resolving complex or escalated matters.
Drive updates to policies and procedures to enhance Sponsor Compliance efforts.
Create and manage advisor support materials, including user guides, Resource Center updates, training resources, procedural documentation, advisor one-pagers, and required forms.
Provide training sessions and educational presentations for advisor offices, supervision teams, and internal business partners through virtual platforms as needed.
Track individual and team operational performance metrics.
Provide reporting as needed for trend analysis and oversight.