Sr Analyst, Compliance

LPL Financial • Fort Mill, SC

1d

About The Position

The Senior Analyst, Conflicts & Disclosures supports LPL’s enterprise‑wide Conflicts of Interest and Disclosures Management programs within the Compliance organization. This role is responsible for assisting with the identification, assessment, documentation, and ongoing maintenance of conflicts of interest and related disclosures. The Senior Analyst will help develop and maintain key governance components—including procedures, reporting, training materials, and program documentation—while partnering with internal stakeholders to ensure consistent and accurate execution. This position requires strong analytical skills, exceptional attention to detail, and the ability to communicate clearly with business partners at all levels. The Senior Analyst plays a vital role in supporting the firm’s governance framework, enhancing transparency, and maintaining a strong risk and control environment.

Requirements

• Bachelor’s degree in business, Finance, Law, Risk Management, Political Science, or a related discipline.
• 3–5+ years of experience in compliance, risk management, legal, internal audit, or another control‑function role within financial services.
• Experienced in conflicts of interest concepts and disclosure requirements in a broker‑dealer and/or investment advisory environment.
• Strong analytical, research, and critical‑thinking skills with the ability to interpret information and identify risks.
• Excellent verbal and written communication skills, including experience drafting documentation or reports.
• Ability to manage multiple tasks simultaneously and meet deadlines in a fast‑paced environment.
• Proficiency with data management and reporting tools (e.g., Excel, SharePoint, Tableau, or similar systems).
• High attention to detail and accuracy in documentation and analysis.

Nice To Haves

• Industry certifications (e.g., CAMS, CRCM, ICA) or FINRA licenses (e.g., Series 7, 66, 24).
• Experience supporting regulatory exams or internal audits.
• Familiarity with governance/risk systems or disclosure‑tracking tools.

Responsibilities

• Support the management of the firm’s Conflicts of Interest and Disclosures programs by helping identify, evaluate, and document conflicts across business units.
• Maintain and update the enterprise conflicts inventory and disclosures documentation, ensuring accuracy, consistency, and completeness.
• Assist in drafting, maintaining, and improving policies, procedures, and governance materials related to conflicts and disclosures.
• Conduct research and analysis on business activities, regulatory changes, and industry practices to assess potential impacts to the Conflicts & Disclosures programs.
• Prepare reporting, dashboards, and metrics for governance committees, risk groups, and senior leadership.
• Partners with business lines, Compliance teams, Legal, and Risk to gather information and support conflict assessments or disclosure-related inquiries.
• Support the development and delivery of conflict-related and disclosure-related training and educational resources.
• Assist with regulatory examinations, internal audits, and compliance reviews by coordinating data gathering and supporting remediation efforts when needed.
• Contribute to enhancements of technology, tracking tools, and workflows used to manage conflicts and disclosures.
• Promote a strong risk‑aware culture and act as a subject‑matter resource on conflicts and disclosures requirements.

Benefits

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

What This Job Offers

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