eComm Supervision Analyst

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!

Excited to learn more? If so, then this could be the role 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 22,000 financial advisors, 1,100 institution-based investment programs, and 500 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.

Job Overview:

The eComm Supervision Analyst will be responsible for working on tasks related to the firm's electronic communication supervision program, which includes running and analyzing reports, recommending changes to the firm's program based on risk, reviewing electronic communications, reviewing Social Media Profiles, supporting Centralized Services tasks, making presentations to larger committees, and other items related to lowering our risk profile related to the supervision program.

Responsibilities:

• Running and analyzing reports in our electronic supervisory platforms

• Recommending changes to our keywords and lexicons for electronic supervision

• Reviewing and supervising electronic communications

• Reviewing and supervising Social Media Profiles, static content

• Supporting Centralized Services tasks

• Work with our offshore partners who review electronic communications

• Create reporting for senior management, such as trend reporting

• Review and Quality Control of artificial intelligence and machine learning bots actions and recommendations

• Testing and verifying system updates and implementation of new technology within the system, such as additions of social media supervision

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Series 7, Series 24

• 3+ years of experience in supervision, compliance and/or regulatory matters

• 2+ years of experience supervising electronic communications

• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk

• Must be proficient in Microsoft Excel, PowerPoint, and Outlook

Core Competencies:

• Strong knowledge of mutual funds, annuities, alternative investments, general securities, and other financial products required

• Ability to work in a fast paced/high volume environment

• Strong knowledge of FINRA SEC, and State rules and regulations

• Ability to develop compliance systems and strategies for effective supervision

• Focus on delivering great customer service and accurate information

• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

• Excellent oral and written communication skills

• Ability to make regulatory and supervisory-based decisions will be necessary

• Very strong analytical skill

• Strong knowledge in all Microsoft applications; particularly Excel and PowerPoint

Preferences:

• Undergraduate degree in Business, Accounting, Finance, or related discipline preferred

• Series 66 (OR S63 AND S65) preference

• Working knowledge and understanding of SQL and/or other tools

• Understanding of Proofpoint and Lexicon Tuning

• #LI-Hybrid #LI-Onsite #LI-PA

Pay Range:

$60,900.00 - $101,500.00

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.