Sr. Analyst, Retirement 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, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

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

As a Senior Retirement Compliance Analyst
, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.

• Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting Program
• Review and approve advisor participation in retirement-focused programs
• Support regulatory examinations, audits, and compliance reviews
• Monitor annual compliance questionnaires, attestations, and advisor follow-up requirements
• Partner with internal business teams to understand and enhance processes
• Develop and maintain desktop procedures and compliance documentation
• Collaborate with recordkeeper partners and internal stakeholders to support retirement initiatives
• Communicate effectively with advisors and internal business partners

We’re 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.

• Bachelor's degree in a related field
• 3+ years of financial services compliance experience
• Experience with retirement plan compliance and ERISA-related requirements

• Strong understanding of advisory compliance regulations and fiduciary concepts
• Excellent analytical, organizational, and problem-solving skills
• Strong written and verbal communication abilities
• Ability to manage multiple priorities in a fast-paced environment
• Proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and Share Point
• Collaborative mindset and a passion for continuous improvement

• FINRA Series 66 license, Series 24 license a plus

$75,293.00 - $

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!

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…