Sr Examiner

LPL Financial • College Station, TX

286d • $73,725 - $122,875 • Hybrid

About The Position

Our Senior Examiners are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Senior Examiner will consult with branch managers, advisors, and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. This is a Hybrid position, which includes required travel and proximity to a regional airport location.

Requirements

• Bachelor's degree (B.A./B.S.) and minimum of 7 years of branch audit or compliance experience in the financial services industry.
• Securities Industry Essentials (SIE) required.
• Ability to work in a self-directed environment working remotely from your primary residence.
• Proficient in Microsoft applications (Word, Excel, Outlook).
• Excellent communication skills and ability to represent LPL in a client-facing role.

Nice To Haves

• Series 7 and Series 24 licenses.

Responsibilities

• Independently perform all functions of branch examination, including thorough evaluation of branch activities to determine compliance with regulatory requirements.
• Escalate risk and use sound judgement to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations.
• Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff.
• Produce quality audit letters and work-papers that document the required testing.
• Plan and prepare pre-audit material, schedule exams, arrange travel, and manage associated expenses.
• Collaborate with peers and management to streamline processes and create efficiencies for the department.
• Assist with the training and mentorship of Branch Auditors who are newer to the role.
• Lead large and more complex branch examinations, including those that require multiple Branch Auditors.

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
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree