Are you a team player with a growth mindset? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Responsibilities:

• Effectively managing competing priorities of requests working under strict deliverables
• Proactively participate in testing initiatives and assist in implementing management’s plan of action to remediate findings;
• Prepare testing results to present to management and support Compliance Testers to gather management’s plan of action to remediate findings;
• Assist with developing materials/presentations for management meetings, initiatives/project status, etc.
• Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental functions.
• Identifying Risk exposure with all projects. Includes ensuring all regulatory driven projects are completed within regulatory timelines.
• Continually access and identify new risk items within departmental processes
• Work closely with subject matter experts/business units across the organization
• Proficient with understanding FINRA and State Registration rules and Regulations and how it pertains to departmental
• Review/Research of disclosures.
• Review of on-boarding kits

Qualifications:

• Excellent verbal and written communication skills
• Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities
• Strong attention to detail with a pro-active approach to solving and preventing problems
• Ability to work under pressure/deadlines and manage multiple priorities
• Ability to interface effectively with various levels of employees
• Strong time management and organizational skills
• Highly motivated and able to adapt to changing priorities
• Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

• Bachelor's Degree Preferred
• Proficient in Microsoft Office preferred
• Familiarity with Oracle, Clientworks, Microsoft Dynamics, and Documentum