Examiner
The Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. Read more […]
Sr. Examiner
The Sr. Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Sr. Examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and Read more […]
Sr. Examiner
The Sr. Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Sr. Examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and Read more […]
Supervisory Principal
Essential Functions:1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.2. Confirm that all required account documents are provided to and obtained from a customer, and maintain and retain branch books and records in the OSJ branch office for the required retention period.3. Provide assistance during annual inspection of OSJ branch office. Respond to branch deficiency letter and take steps Read more […]
Supervisory Principal
Essential Functions:1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.2. Confirm that all required account documents are provided to and obtained from a customer, and maintain and retain branch books and records in the OSJ branch office for the required retention period.3. Provide assistance during annual inspection of OSJ branch office. Respond to branch deficiency letter and take steps Read more […]
Consolidated Supervised Entity Examiner – Member Regulation, ROOR
Job Summary: The Examiner conducts assignments on routine and special Consolidated Supervised Entity (CSE) examinations to assess member firms’ risk management framework and evaluate systems and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk and that are in compliance with applicable rules and regulations; and assists senior staff on more complex assignments. Essential Job Functions: The CSE Associate Examiner demonstrates the necessary knowledge through a program combining self-paced learning (both print-based and computer-based), Read more […]
Consolidated Supervised Entity Examiner – Member Regulation, ROOR
Job Summary: The Examiner conducts assignments on routine and special Consolidated Supervised Entity (CSE) examinations to assess member firms’ risk management framework and evaluate systems and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk and that are in compliance with applicable rules and regulations; and assists senior staff on more complex assignments. Essential Job Functions: The CSE Associate Examiner demonstrates the necessary knowledge through a program combining self-paced learning (both print-based and computer-based), Read more […]
Control Room Research Compliance Manager
Responsibilities will include:*Provide advice on compliance issues relating to Research and other similar products;*Evaluating, revising and/or developing global policies and procedures as required to enhance Research compliance and meet changing regulation;*Global coordination around cross border research issues;*Communication and maintenance of conflict disclosures;*Conflict check vetting and management as it relates to Research;*Implementation, communication and advise on research restrictions and watch list Surveillance;*Advise relating to wall crossings of Research staff ;*Monitoring and testing Read more […]
Control Room Research Compliance Manager
Responsibilities will include:*Provide advice on compliance issues relating to Research and other similar products;*Evaluating, revising and/or developing global policies and procedures as required to enhance Research compliance and meet changing regulation;*Global coordination around cross border research issues;*Communication and maintenance of conflict disclosures;*Conflict check vetting and management as it relates to Research;*Implementation, communication and advise on research restrictions and watch list Surveillance;*Advise relating to wall crossings of Research staff ;*Monitoring and testing Read more […]
Portfolio Compliance Analyst
Primary responsibilities will include backing-up the Senor Portfolio Compliance Analysts in managing day-to-day automated or manual processes for ensuring pre-and post-trade compliance for fixed income and equity accounts. Essential Job Functions: Work with a Sr. Portfolio Compliance Analyst in reviewing, interpreting, clarifying and maintaining portfolio guidelines and restrictions (i) prior to trading a new fixed income or equity account, or (ii) as proposed or directed by existing clients.Work with a Sr. Portfolio Compliance Analyst to establish and test new guidelines and restrictions in Read more […]