Surveillance Analyst

For the 12th year in a row, LPL Financial has been named America's number one independent brokerage firm*. Both a pioneer and innovator in the financial services arena, LPL Financial manages over $165 billion in assets through its nationwide network of financial advisors. With headquarters in Boston, San Diego, and Charlotte we support over 10,000 financial advisors in more than 6,000 branch offices. The focus of our firm has always been on our advisors and our commitment to help them grow their business. In addition to providing independent research and operational support, LPL Financial also leads the way on the technology front, offering innovative investment platforms that automate time-consuming functions. LPL Financial's technology streamlines business processes for advisors, freeing up their time to focus on what they do best; provide sound financial advice and services to their clients.   LPL is a company for talented people who thrive in a dynamic, challenging and growth-oriented environment. You are invited to consider an opening for a Compliance Analyst, Surveillance in our Charlotte office: This position will be responsible for assisting the firm with regard to regulatory and compliance matters. Responsibilities include: Responsibilities include: keeping up to date with Company and industry regulations regarding financial institution activities; performing daily and periodic supervision of trading activity and other activities of Financial Advisors; making effective use of information systems; ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company; leading investigations of questionable sales activity, acting proactively to identify potential issues and leads staff initiatives to improve and streamline supervision procedures; serving as an expert resource on compliance supervision issues to Financial Advisors; and, performing other duties as assigned. Candidate must be familiar with the SEC and FINRA regulatory environment and requirements. Helpful experience or knowledge would include: regulatory agency or self-regulatory organization; branch office supervision; front office or back office of a brokerage firm or investment adviser. - Bachelor's degree in business related field or equal experience - Series 7 required - Series 24 required within 120 days of hire - Series 63 and 65 (or 66) within 6 months of hire - Series 3, 4, 27 and 53 licenses and Variable Life and Annuity licenses a plus. - 2+ years previous securities industry experience - Ability to function cooperatively, and build consensus on compliance issues among managers, employees and representatives - Excellent oral and written communication skills -Ability to meet deadlines in a fast paced environment -Thorough and detail-oriented with strong investigative skills -Highly analytical with excellent research skills -Knowledge of NASD, SEC, and State rules and regulations   LPL is an equal opportunity employer and in accordance with state and federal laws, will not descriminate against any employee or applicant for employment on the basis of race, gender, sexual orientation, color, national origin, ancestry, religion, age, disability, handicap or veteran status. Position Title: Surveillance Analyst Location: US-NC-Charlotte Status: Full Time, Employee Job Category: Accounting/Finance/Insurance Career Level: Experienced (Non-Manager)