LPL Financial
What if you could
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.
Job Overview:
The Sponsor Compliance team in CLR is looking for a driven, self-motivated individual who is solution- oriented and passionate about delivering results to join the team. The Sr. Analyst will report to the VP, Conflicts Management & Sponsor Compliance and will be primarily responsible for reviewing, evaluating and approving sponsor reimbursement submissions from OSJs and financial advisors in connection with expenses incurred through hosting internal training/educational and certain external client events. The Sr. Analyst will be a key member of the team whose mission is to ensure both LPL employees and financial advisors comply with regulatory requirements, including FINRA Non-Cash Compensation regulations.
Responsibilities: Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures. Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems. Interact with internal and external partners as needed to provide consultative support and research and resolve issues. Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements. Drive updates to policies and procedures to enhance Sponsor Compliance efforts. Track work internally for individual and team operational performance metrics. Provide reporting on an as needed basis for trend analysis and oversight. What are we looking for?
We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates
pursue greatness, act with integrity,
and are
driven to help our clients succeed.
We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together
and
create and share joy
in our work.
Requirements:
Bachelor's Degree Minimum 3+ years of working knowledge or exposure to compliance programs within financial services. Proficiency with Microsoft Office Suite, especially Excel and Powerpoint. FINRA registrations, other industry certifications and knowledge of the brokerage industry Preferences:
Excellent written and oral communication skills with the ability to make risk-based decisions and present information to different levels of audiences. High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance. #LI-PA
Pay Range: $73,088-$121,813/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission:
We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work:
Our size is just right for you to make a real impact. Learn more here! Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
EAC1.22.25
build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could
have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what's possible with LPL Financial.
Job Overview:
The Sponsor Compliance team in CLR is looking for a driven, self-motivated individual who is solution- oriented and passionate about delivering results to join the team. The Sr. Analyst will report to the VP, Conflicts Management & Sponsor Compliance and will be primarily responsible for reviewing, evaluating and approving sponsor reimbursement submissions from OSJs and financial advisors in connection with expenses incurred through hosting internal training/educational and certain external client events. The Sr. Analyst will be a key member of the team whose mission is to ensure both LPL employees and financial advisors comply with regulatory requirements, including FINRA Non-Cash Compensation regulations.
Responsibilities: Perform comprehensive reviews of required documentation submitted by OSJs, financial advisors and product sponsors to confirm expenses proposed for sponsor reimbursement fully meet firm policies and procedures. Partner with OSJs, financial advisors, product sponsors and LPL Commissions to process approved reimbursements to be paid through the commissions systems. Interact with internal and external partners as needed to provide consultative support and research and resolve issues. Provide best in class advisor assistance as it relates to reimbursement activities and documentation requirements. Drive updates to policies and procedures to enhance Sponsor Compliance efforts. Track work internally for individual and team operational performance metrics. Provide reporting on an as needed basis for trend analysis and oversight. What are we looking for?
We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates
pursue greatness, act with integrity,
and are
driven to help our clients succeed.
We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together
and
create and share joy
in our work.
Requirements:
Bachelor's Degree Minimum 3+ years of working knowledge or exposure to compliance programs within financial services. Proficiency with Microsoft Office Suite, especially Excel and Powerpoint. FINRA registrations, other industry certifications and knowledge of the brokerage industry Preferences:
Excellent written and oral communication skills with the ability to make risk-based decisions and present information to different levels of audiences. High level of analytical and problem-solving skills, desire to learn quickly, be flexible and think strategically with attention to detail and quality assurance. #LI-PA
Pay Range: $73,088-$121,813/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment:
We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential:
Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission:
We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work:
Our size is just right for you to make a real impact. Learn more here! Commitment to Equality:
We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus:
We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards:
Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an
@lplfinancial.com
email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
EAC1.22.25