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LPL Financial · 3 days ago

Examiner

Tempe

Full-time

Hybrid

Mid Level

$66K/yr - $109K/yr

3+ years exp

LPL Financial is among the fastest growing wealth management firms in the U.S., seeking an Examiner to ensure compliance with regulations at branch offices. The role involves evaluating branch activities, conducting consultations, and preparing audit letters to maintain adherence to company policies and applicable laws.

FinanceFinancial Services

Responsibilities

Responsible for independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations (may be onsite or virtual depending on the needs of the business)

Conduct virtual and/or in-person consultations with branch manager, advisors, and support staff

Prepare audit letter based on deficiencies identified during branch examination and provide instructions, both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all regulations

Use all company-provided tools and systems required to perform thorough audit and document findings in detail

Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses

Collaborate with peers and management to streamline processes and create efficiencies for the department

Qualification

FINRA securities registrationsCompliance knowledgeMicrosoft applicationsCustomer service skillsProblem-solving skillsAttention to detailVerbal communicationWritten communicationTeam collaboration

Required

Possibility of some domestic travel (up to 20%) which will require the carrying of luggage and audit paperwork (approx. lifting at least 40 pounds)

Professional demeanor to represent LPL in a client-facing role and across all levels within and outside the organization

Proficient in Microsoft applications (Word, Excel, Outlook)

Skilled in building relationships and collaborating with business partners

Must have excellent customer service skills, be a consultative partner, and be able to communicate effectively with individuals at various levels, both verbal and written

Ability to proactively identify risk and use sound judgement to know when to 'ask the next question' as potential risk areas are found

Take initiative and problem solve in a complex environment

Able to effectively leverage resources and navigate the organization to obtain information and achieve objectives

Proven track record for working independently, meeting job responsibilities, and detail orientation

Education: Bachelor's degree (B.A./B.S.) or minimum of three years of experience in the financial services industry