Program Compliance Analyst

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: In this role you will support the Program Compliance department in a variety of ways including supporting “business as usual” (BAU) operating routines including, researching and resolving department-level issues, conducting root cause analysis through data and investigation, and supporting program/project deliverables for key initiatives. This role requires close collaboration with key cross functional partners across the firm. Responsibilities: Execute effectively within a framework designed to ensure an industry-leading Compliance program that adheres to all regulatory requirements and firm policy, Use data to support root cause analysis Support the Compliance Training team through reporting, act as a resource for business partners, our offshore team, and the field Compile and maintain effective dashboards to communicate a...