Ecomm Supervision Principal

Job Overview:
The eComm Supervision Analyst will be responsible for working on tasks related to the firm's electronic communication supervision program, which includes running and analyzing reports, recommending changes to the firm's program based on risk, reviewing electronic communications, reviewing Social Media Profiles, supporting Centralized Services tasks, making presentations to larger committees, and other items related to lowering our risk profile related to the supervision program.

Responsibilities:
• Running and analyzing reports in our electronic supervisory platforms
• Recommending changes to our keywords and lexicons for electronic supervision
• Reviewing and supervising electronic communications
• Reviewing and supervising Social Media Profiles, static content
• Supporting Centralized Services tasks
• Work with our offshore partners who review electronic communications
• Create reporting for senior management, such as trend reporting

• Review and Quality Control of artificial intelligence and machine learning bots actions and recommendations
• Testing and verifying system updates and implementation of new technology within the system, such as additions of social media supervision

What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:
• Series 7, Series 24
• 3+ years of experience in supervision, compliance and/or regulatory matters
• 2+ years of experience supervising electronic communications
• Ability to identify problem areas, analyze risk for LPL Financial and develop policy, procedure and controls to effectively supervise and mitigate said risk
• Must be proficient in Microsoft Excel, PowerPoint, and Outlook
Core Competencies:
• Strong knowledge of mutual funds, annuities, alternative investments, general securities, and other financial products required
• Ability to work in a fast paced/high volume environment
• Strong knowledge of FINRA SEC, and State rules and regulations
• Ability to develop compliance systems and strategies for effective supervision
• Focus on delivering great customer service and accurate information
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions will be necessary
• Very strong analytical skill

• Strong knowledge in all Microsoft applications; particularly Excel and PowerPoint

Preferences:
•Undergraduate degree in Business, Accounting, Finance, or related discipline preferred
• Series 66 (OR S63 AND S65) preference
• Working knowledge and understanding of SQL and/or other tools
• Understanding of Proofpoint and Lexicon Tuning
 

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s 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 mission—taking 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 life’s 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 applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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