- Act as an Office of Supervisory Jurisdiction (OSJ) Delegate with review of transactions for suitability and best interest, monitor daily reports and alerts for reports of unusual activity, and field calls from advisors and internal business partners.
- Build rapport with advisors to support clear compliance communication and proactively help address potential risks in day-to-day activities.
- Help staff and associated representatives develop a broader skill base and level of understanding of risks and their compliance responsibilities.
- Manage multiple and changing priorities, expectations and concerns while working closely with the financial advisors in a focused and responsive manner.
- Assist with the maintenance of the Compliance department's written supervisory procedures.
- Offer assistance with regulatory exams and audit requests.
- Accountable for planning and preparation of pre-audit material, follow-up with financial advisors, and support to sustain successful compliance practices.
- Provide feedback on opportunities to improve compliance processes and support implementation efforts as directed by leadership.
- Assist in gathering data and preparing recommendations to support risk-related initiatives led by senior compliance leadership.
- Coordinate the filing of the weekly, monthly and quarterly reporting obligations of all affiliated personnel.
- Collect and document Client Annual Reviews and Account Reviews; Business Continuity Plans; Personal Securities; Advisor Correspondence; and Financial Plans.
- Participate in and support process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of departmental tasks.
- Assist with the onboarding/termination process for investment adviser representatives (IARs), registered representatives and their staff.
- Track licenses and registrations, handle renewals, ensure ongoing training and continuing education requirements are met for IARs and registered representatives
- Assist with timely and accurate filing of regulatory reports (e.g., Form ADV, U4, U5, 13F and other required filings).
- Review disclosure related documentation and provide guidance to registered individuals on disclosure reporting requirements.
- Assist in the investigation of compliance matters by gathering information, preparing summaries, and escalating findings to senior compliance staff for review.
- Support the compliance team by researching regulations and preparing summaries to assist in policy updates and decision-making.
- Create and maintain internal compliance tracking dashboards and assist in preparing reports for leadership review.
- Perform other duties and complete ad hoc projects as assigned.
- Strong regulatory and business knowledge, analytical and problem-solving skills.
- Strong presentation, written, and interpersonal communication skills.
- Ability to work on multiple tasks and manage team priorities and workload.
- In-depth knowledge of compliance practices, tools, techniques, concepts, and trends.
- Team player who works constructively with others to achieve team goals and adhere to the firm’s Service Standards.
- Ability to work independently as well as collaboratively in a team environment.
- Ability to organize, prioritize, and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment.
- High school diploma or GED required.
- Bachelor’s degree in Finance, Business, or related discipline preferred.
Experience
- FINRA securities registrations of SIE, Series 7, Series 66 (or 63 and 65); Series 24 preferred (or willingness to obtain within 120 days of hire).
- Experience and knowledge of FINRA , SEC and state securities rules and regulations.
- Working knowledge of Microsoft applications (Word, Excel, Outlook)
- Requires vision, speech, and hearing, and a low level of physical activity to include sitting, standing, walking, lifting, and carrying as required.
- Primarily Indoors, office setting.
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What We Do
Our mission is to help more Americans and business owners achieve their version of the Good Life. We do that by serving independent advisors, helping them stay focused on their priorities and goals by making it easy for them to focus on their clients. Good Life offers a comprehensive platform of services and solutions that empower independent financial advisors throughout the lifecycle of their business, including a turnkey platform to launch their business; services to manage the practice; investment management, financial planning, and insurance services to grow their client relationships; and partnership to support strategies for growth and monetization. Securities offered through LPL Financial Member FINRA/SIPC. (www.finra.org/www.sipc.org) Investment advice offered through Good Life Advisors, LLC, a registered investment advisor. Good Life Companies and Good Life Advisors, LLC, are separate entities from LPL Financial. Third-party posts found on this profile don’t reflect the views of LPL Financial and haven’t been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.
