Senior Analyst, Senior Investor Protection

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: The LPL Senior Investor Protection (SIP) team performs a critical function in ensuring that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. SIP reports to and provides state agencies (Adult Protective Services, law enforcement, and securities regulators) with key information obtained through an investigation to not only meet the firm’s mandatory reporting obligations, but to also stop fraudulent activity in an effort to protect client’s, advisors, and LPL. Reporting to the SIP AVP, a SIP Senior Analyst will be responsible for assisting with case volume across the team but also coordinating and independen...