Upvote
Downvote
Senior Regulatory Analyst
Share Job
- Suggest Revision
- 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.
- The Regulatory Examinations and Inquiries team within LPL's Legal department is responsible for responding to a broad range of regulatory examinations and inquiries from federal and state securities regulators, FINRA, and other SROs. The REI team also supports LPL's bank and credit union partners in responding to examination and audit requests related to their bank regulatory expectations.
- Senior Regulator Analysts are expected to be knowledgeable in compliance matters generally, to have skill analyzing information, to use professional judgment in responding to circumstances that arise in the course of regulatory matters, and to appropriately escalate issues to more senior personnel in the Legal and Compliance areas.
- Bachelor's degree and/or 4+ years' experience working in the brokerage or investment advisory industry.
Active Job
Updated YesterdaySimilar Job
Relevance
Active