Senior Analyst, Sponsor Compliance

LPL Financial • Charlotte, NC

3d

About The Position

The Senior Analyst will join LPL Financial’s Sponsor Compliance team and report to the AVP, Sponsor Compliance. The role is primarily responsible for reviewing, evaluating, and approving sponsor reimbursement submissions from OSJs and financial advisors for expenses incurred while hosting internal training and educational events, as well as certain external client events. The position helps ensure that LPL employees and financial advisors comply with applicable regulatory requirements, including FINRA Non-Cash Compensation regulations.

The Senior Analyst partners with OSJs, financial advisors, product sponsors, LPL Commissions, and other internal and external stakeholders to process approved reimbursements, provide consultative support, and resolve questions or complex matters. The role also supports large institutional clients with sponsor reimbursement and gifts and entertainment requests. In addition, the analyst contributes to policy and procedure improvements, creates advisor support and training materials, delivers educational presentations, and tracks operational performance 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 passion for continuous improvement.

Responsibilities

• Review documentation from OSJs, financial advisors, and product sponsors to confirm proposed sponsor reimbursements 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 and research and resolve issues with internal and external partners.
• Assist advisors with reimbursement activities and documentation requirements.
• Guide large institutional clients through sponsor reimbursement and gifts and entertainment requirements, coordinate with stakeholders, and resolve 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.

Benefits

• 401(k) matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off

What This Job Offers

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