Compliance Control Room Analyst — Regulation & Risk
Listed on 2026-10-17
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Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Analyst
LPL Financial is seeking a Compliance Analyst for the Control Room to help safeguard MNPI and monitor trading activities while ensuring adherence to the firm's policies and regulatory requirements. You will review advisor and employee submissions to verify compliance with Outside Investment Accounts and Personal Trading policies, and collaborate with brokers to manage data feeds and attestations.
The role requires a strong grasp of SEC/FINRA rules, excellent communication, and the ability to
The Compliance Control Room Analyst — Regulation & Risk role at LPL Financial is now open for applications in Fort Mill, SC, United States.
Learn more about the Compliance Control Room Analyst — Regulation & Risk role in the description above.
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