Sr. Analyst, Retirement Compliance

LPL Financial•San Diego, CA

1d•$75,293 - $125,454

About The Position

As a Senior Retirement Compliance Analyst, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.

Requirements

Bachelor's degree in a related field
3+ years of financial services compliance experience
Experience with retirement plan compliance and ERISA-related requirements
Strong understanding of advisory compliance regulations and fiduciary concepts
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 (Excel, PowerPoint, Word) and SharePoint
Collaborative mindset and a passion for continuous improvement

Nice To Haves

FINRA Series 66 license
Series 24 license a plus

Responsibilities

Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting Program
Review and approve advisor participation in retirement-focused programs
Support regulatory examinations, audits, and compliance reviews
Monitor annual compliance questionnaires, attestations, and advisor follow-up requirements
Partner with internal business teams to understand and enhance processes
Develop and maintain desktop procedures and compliance documentation
Collaborate with recordkeeper partners and internal stakeholders to support retirement initiatives
Communicate effectively with advisors and internal business partners