LPL Financial · 2 hours ago
Senior Analyst, Financial Planning Compliance
San Diego
Full-time
Onsite
Senior Level
$75K/yr - $125K/yr
5+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., dedicated to empowering professionals in shaping their success. The Senior Analyst, Financial Planning Compliance will assist in developing policies, perform compliance reviews, and drive collaboration across stakeholders to enhance financial planning and consulting activities.
FinanceFinancial Services
Responsibilities
Assist in developing new policies and drafting desktop procedures and written supervisory procedures
Research and respond to financial planning inquiries from other departments and financial advisors
Perform compliance and risk-based reviews of financial planning and consulting activities and document outcomes
Design and implement new oversight controls, considering impacts on other teams and financial advisors
Drive collaboration across stakeholders to lead projects, initiatives, and decisions to successful execution, with manager support
Partner across the firm to advance projects and remove roadblocks
Gather feedback from financial advisors, stakeholders, and partners, translating insights into actionable recommendations
Establish and maintain effective working relationships with all stakeholders
Qualification
Required
Bachelor's Degree with a minimum of 5 years of financial services industry experience
Strong knowledge of financial planning and investment advisory services
Detail oriented and ability to evaluate and mitigate risk
Strong industry acumen, self-starter and the ability to work with minimal supervision and quickly adapt to a fast-paced environment
Ability to work and communicate effectively with other departments throughout the organization
Excellent written and oral communication skills
Proficient in Microsoft Office and web-based applications
Preferred
CFP
Series 7, 66 (or 63 and 65), 24 (or 9 and 10) or willingness to obtain within 120 days
Excellent relationship management skills
Extensive knowledge and experience interpreting the Investment Advisors Act
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
And more
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-16
GlobeNewswire
2026-01-16
Investment News
2026-01-16
Company data provided by crunchbase