Senior Compliance Specialist Senior Compliance Specialist …

LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
LPL Financial
in San Diego, CA, United States
Permanent, Full time
Be the first to apply
Senior Compliance Specialist
Sr Compliance Specialist San Diego/en-US/External/job/San-Diego/Sr-Compliance-Specialist_R-008411/apply

We are currently looking to hire a Sr. Compliance Specialist of Advisor Review/OBA, which is a part of LPL's Business Risk Management (BRM) function. The Business Risk Management department (BRM) serves as the first line of defense within the Compliance, Legal, & Risk (CLR) group.

The Sr. Compliance Specialist in Advisor Review will be responsible for coordinating, tracking, and reporting on the compliance review and approval of representatives wishing to join LPL Financial. The Sr. Specialist will also assist in providing support to the compliance review of Outside Business Activities and 3280 transactions for representatives.

Essential Functions:

  • Assist with data collection and trend identification to drive metrics across the entire Supervision landscape
  • Use data analysis to help BRM develop a comprehensive metrics package to share with senior management and help drive the business
  • Assist with the processing of onboarding and Outside Business Activity reviews for all persons affiliated with LPL Financial
  • Review and update documentation related to department policies and procedures
  • Perform other duties and complete ad hoc projects as assigned


  • Bachelor's degree or equivalent experience
  • 1-2 years industry experience preferred
  • Proficiency with all Microsoft applications, particularly Word, Access and Excel
  • Strong oral and written communication skills
  • Ability to meet deadlines in a fast paced environment
  • Strong time management and organizational skills
  • Strong analytical and research skills
  • Highly motivated self-starter
  • Knowledge of FINRA, SEC, and State rules and regulations

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nations largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego. 

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.  

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.   

Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE 

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

Posted TodayFull timeR-008411

As the nations leading independent broker-dealer*, we offer an

integrated platform of proprietary technology, brokerage, and

investment advisor services to more than 14,000 financial

advisors and approximately 700 financial institutions, enabling

them to help their clients turn life's aspirations into financial

realities. We also support more than 4,000 other financial

advisors with customized clearing solutions, advisory

platforms, and technology.

Weve told you what we do for our customers, but what can we

do for you? 

Well provide you with a work environment that encourages your

creativity and growth, a leadership team thats supportive and

responsive, and the opportunity to create a career that has no

limits, only amazing potential.

*As reported by Financial Planning magazine, June 1996-2017,

based on total revenue.