Base: $75,280-$125,467pyear; bonus/equity: not spe...
Not specified (assumed hybrid based on common industry practices)
Compliance risk assessments
Policy and procedure maintenance
Regulatory change monitoring
LPL Financial is seeking a Senior Analyst for their Program Compliance team. The role involves ensuring compliance with regulations, managing compliance risks, and supporting business initiatives, requiring substantial experience in financial services compliance
Job Summary
As part of the Program Compliance team, this role assists in the annual assessment of policies and procedures to ensure compliance with laws, rules, and regulations.
LPL Financial offers a highly competitive Total Rewards package including 401K matching, health benefits, employee stock options, paid time off, and volunteer time off.
The company fosters a culture of innovation, creativity, and community focus, supporting employees to make a real impact while pursuing their financial goals.
Matching Summary
Match Score: 85
LPL Financial is seeking a Senior Analyst for their Program Compliance team. The role involves ensuring compliance with regulations, managing compliance risks, and supporting business initiatives, requiring substantial experience in financial services compliance.
Salary
Base: $75,280-$125,467/year; Bonus/Equity: Not specified; Benefits: 401K matching, health benefits, employee stock options, paid time off, volunteer time off
Skills & Requirements
Must-have
Compliance risk assessments
Policy and procedure maintenance
Regulatory change monitoring
Project management experience
Executive level communication
Use of Archer compliance software
Nice-to-have
Strong collaboration skills
Creativity and continuous improvement
High ethical standards
Client-focused mindset
Ability to thrive in fast-paced environments
Key Requirements
Bachelor's Degree
Minimum of 5+ years compliance experience
Experience within financial services or wealth management