Senior Analyst, Program Compliance

Job description

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: As part of the Program Compliance team, this role assists in the annual assessment of policies and procedures to ensure compliance with laws, rules, and regulations. The role involves maintaining policies, understanding compliance risks and controls, assisting in performing risk assessments, and supporting business partners in managing compliance risks. It also includes providing advice, guidance, and strategic support for key firm initiatives. Additional responsibilities include support of the monthly compliance alert for LPL Financial and LPL Enterprise; support of various Program Compliance activities in Archer; and support of the Annual Compliance Questionnaire. Roles & Responsibilities: - Review completed annual compliance questionnaires to identify areas of concern or non-compliance, escalating to content owners as nec...