Senior Financial Planning Analyst - Compliance

LPL Financial • Charlotte, NC

3d

About The Position

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 position requires an energetic candidate with a financial services background who can think independently, thrive in a fast-paced team environment, creatively problem-solve, connect various thoughts, observations and results to help develop innovative solutions.

Requirements

• Bachelor’s Degree with a minimum of 5 years of financial services industry experience
• Strong knowledge of financial planning and investment advisory services
• Detail oriented and ability to evaluate and mitigate risk
• Strong industry acumen, self-starter and the ability to work with minimal supervision and quickly adapt to a fast-paced environment
• Ability to work and communicate effectively with other departments throughout the organization
• Excellent written and oral communication skills
• Proficient in Microsoft Office and web-based applications

Nice To Haves

• CFP
• Series 7, 66 (or 63 and 65), 24 (or 9 and 10) or willingness to obtain within 120 days
• Excellent relationship management skills
• Extensive knowledge and experience interpreting the Investment Advisors Act

Responsibilities

• Assist in developing new policies and drafting desktop procedures and written supervisory procedures
• Research and respond to financial planning inquiries from other departments and financial advisors
• Perform compliance and risk-based reviews of financial planning and consulting activities and document outcomes
• Design and implement new oversight controls, considering impacts on other teams and financial advisors
• Drive collaboration across stakeholders to lead projects, initiatives, and decisions to successful execution, with manager support
• Partner across the firm to advance projects and remove roadblocks
• Gather feedback from financial advisors, stakeholders, and partners, translating insights into actionable recommendations
• Establish and maintain effective working relationships with all stakeholders

Benefits

• 401K matching
• health benefits
• employee stock options
• paid time off
• volunteer time off

What This Job Offers

• Job Type: Full-time
• Career Level: Senior