Sr Compliance Specialist

Are you a team player? Are you curious to learn? 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!

This position will be responsible for the processing of insurance appointment paperwork and the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD, RegEd Xchange, and state insurance websites.

Processing advisor request, state registrations, exam request, and insurance appointmentsPerform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensingLearning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functionsAssisting partner departments with questions and workflow

Qualifications

High School Diploma or GED EquivalencyAt least 1 year relevant experience in financial services, insurance, or a related financial organization is preferredFINRA Licenses or Certifications such as Six Sigma are preferred but not requiredProficiency with Microsoft Office suite such as Excel and PowerPointAbility to handle multiple tasks in a high-volume and fast past environmentStrong attention to detail and prioritization of tasksAbility to work independently be it remotely or in an office environmentAdept, quickly able to adjust as business needs demand

Pay Range

$22.21-$33.32/hour

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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

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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.