Senior Analyst, Financial Planning Compliance
LPL Financial(1 month ago)
About this role
A compliance-focused financial services role supporting oversight of financial planning and advisory activities. The role contributes to policy development, designs oversight controls, and partners across the firm to translate advisor and stakeholder feedback into actionable improvements. It sits within a collaborative, fast-paced environment focused on risk mitigation and advisor support.
Required Skills
- Policy Development
- Compliance
- Risk Management
- Controls Design
- Project Leadership
- Stakeholder Collaboration
- Communication
- Financial Planning
- Investment Advisory
- Microsoft Office
Qualifications
- Bachelor’s Degree
- CFP
- Series 7
- Series 66
- Series 63
- Series 65
- Series 24
- Series 9
- Series 10
About LPL Financial
lpl.comA leading wealth management firm for independent advisors across the U.S., LPL’s technology and resources can help you and your clients succeed. Learn more.
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