Sr Analyst, Compliance

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, youll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

The Senior Analyst, Conflicts & Disclosures supports LPLs enterprisewide Conflicts of Interest and Disclosures Management programs within the Compliance organization. This role is responsible for assisting with the identification, assessment, documentation, and ongoing maintenance of conflicts of interest and related disclosures. The Senior Analyst will help develop and maintain key governance componentsincluding procedures, reporting, training materials, and program documentationwhile partnering with internal stakeholders to ensure consistent and accurate execution.

This position requires strong analytical skills, exceptional attention to detail, and the ability to communicate clearly with business partners at all levels. The Senior Analyst plays a vital role in supporting the firms governance framework, enhancing transparency, and maintaining a strong risk and control environment.

Roles & Responsibilities:

• Support the management of the firms Conflicts of Interest and Disclosures programs by helping identify, evaluate, and document conflicts across business units.
• Maintain and update the enterprise conflicts inventory and disclosures documentation, ensuring accuracy, consistency, and completeness.
• Assist in drafting, maintaining, and improving policies, procedures, and governance materials related to conflicts and disclosures.
• Conduct research and analysis on business activities, regulatory changes, and industry practices to assess potential impacts to the Conflicts & Disclosures programs.
• Prepare reporting, dashboards, and metrics for governance committees, risk groups, and senior leadership.
• Partners with business lines, Compliance teams, Legal, and Risk to gather information and support conflict assessments or disclosure-related inquiries.
• Support the development and delivery of conflict-related and disclosure-related training and educational resources.
• Assist with regulatory examinations, internal audits, and compliance reviews by coordinating data gathering and supporting remediation efforts when needed.
• Contribute to enhancements of technology, tracking tools, and workflows used to manage conflicts and disclosures.
• Promote a strong riskaware culture and act as a subjectmatter resource on conflicts and disclosures requirements.

What are we looking for?

Were looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelors degree in business, Finance, Law, Risk Management, Political Science, or a related discipline.
• 35+ years of experience in compliance, risk management, legal, internal audit, or another controlfunction role within financial services.
• Experienced in conflicts of interest concepts and disclosure requirements in a brokerdealer and/or investment advisory environment.

Core Competencies:

• Strong analytical, research, and criticalthinking skills with the ability to interpret information and identify risks.
• Excellent verbal and written communication skills, including experience drafting documentation or reports.
• Ability to manage multiple tasks simultaneously and meet deadlines in a fastpaced environment.
• Proficiency with data management and reporting tools (e.g., Excel, SharePoint, Tableau, or similar systems).
• High attention to detail and accuracy in documentation and analysis.

Preferences:

• Industry certifications (e.g., CAMS, CRCM, ICA) or FINRA licenses (e.g., Series 7, 66, 24).
• Experience supporting regulatory exams or internal audits.
• Familiarity with governance/risk systems or disclosuretracking tools.

Pay Range:

$75,293.00 - $125,454.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com .

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nations leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one missiontaking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning lifes aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicants bank or credit card. Should you have any questions regarding the application process, please contact LPLs Human Resources Solutions Center at ....

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